Form D Raw Data - Electronic Filing Depository

EFDID: 261495EFD: Raw Data

Issuer: Tracon Pharmaceuticals, Inc. (0001394319) - D

Accession: 0001631338-18-000001 () (EDGAR Files) (Form D)

Edgar Posted: Apr. 10, 2018
EFD Posted: Apr. 10, 2018

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001394319 </ cik >

< entityName > Tracon Pharmaceuticals, Inc. </ entityName >

- < issuerAddress >

< street1 > 4350 LA JOLLA VILLAGE DRIVE </ street1 >

< street2 > SUITE 800 </ street2 >

< city > San Diego </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 858-550-0780 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< previousName > Lexington Pharmaceuticals, Inc. </ previousName >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< previousName > Tracon Pharmaceuticals Inc </ previousName >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > CHARLES </ firstName >

< middleName > P. </ middleName >

< lastName > THEUER </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > PATRICIA </ firstName >

< middleName > L. </ middleName >

< lastName > BITAR </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > WILLIAM </ firstName >

< lastName > LARUE </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > MARTIN </ firstName >

< lastName > MATTINGLY </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > J. </ firstName >

< middleName > RAINER </ middleName >

< lastName > TWIFORD </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > PAUL </ firstName >

< lastName > WALKER </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > STEPHEN </ firstName >

< lastName > WORLAND </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > TED </ firstName >

< lastName > WANG </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O TRACON PHARMACEUTICALS, INC. </ street1 >

< street2 > 4350 LA JOLLA VILLAGE DR, STE 800 </ street2 >

< city > SAN DIEGO </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 92122 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Biotechnology </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2018-03-27 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > LifeSci Capital </ recipientName >

< recipientCRDNumber > 168404 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 250 West 55th Street, Ste. 16B </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10019 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Angel Pond Capital LLC </ recipientName >

< recipientCRDNumber > 287761 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 950 Third Avenue, 25th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 75670770 </ totalOfferingAmount >

< totalAmountSold > 38673734 </ totalAmountSold >

< totalRemaining > 36997036 </ totalRemaining >

< clarificationOfResponse > "Total Offering Amount" includes amounts receivable by the Issuer upon the exercise of certain warrants to purchase the Issuer's Common Stock (assuming no cashless exercise). </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 11 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 1985506 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse />

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Tracon Pharmaceuticals, Inc. </ issuerName >

< signatureName > Patricia L. Bitar </ signatureName >

< nameOfSigner > Patricia L. Bitar </ nameOfSigner >

< signatureTitle > CFO </ signatureTitle >

< signatureDate > 2018-04-10 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >