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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to TRACON Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| November 14, 2024 |
TCON / TRACON Pharmaceuticals, Inc. / Ikarian Capital, LLC - SC 13G/A Passive Investment SC 13G/A 1 d850278dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H308 (CUSIP Number) September 30, 2024 (Date of Event which Requires Filing of this Statemen |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specifie |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
TRACON Pharmaceuticals, Inc. 124 Washington Street Foxborough, MA 02035 TRACON Pharmaceuticals, Inc. 124 Washington Street Foxborough, MA 02035 October 31, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Tim Buchmiller Re: TRACON Pharmaceuticals, Inc. Rule 477 Application for Withdrawal of Registration Statement on Form S-1 Filed on April 12, 2024 File No. 333-278661 L |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 S-8 POS 1 s-8posam333-223333.htm S-8 POS As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. 333-201808 Registration No. 333-209592 Registration No. 333-216347 Registration No. 333-223333 Registration No. 333-229988 Registration No. 333-236732 Registration No. 333-253546 Registration No. 333-258077 Registration No. 333-263591 Registration No. 333-270372 Regist |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the U.S. Securities and Exchange Commission on October 31, 2024. As filed with the U.S. Securities and Exchange Commission on October 31, 2024. Registration No. 333-216962 Registration No. 333-234651 Registration No. 333-239574 Registration No. 333-272100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact na |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the U.S. Securities and Exchange Commission on October 31, 2024. As filed with the U.S. Securities and Exchange Commission on October 31, 2024. Registration No. 333-216962 Registration No. 333-234651 Registration No. 333-239574 Registration No. 333-272100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact na |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the U.S. Securities and Exchange Commission on October 31, 2024. As filed with the U.S. Securities and Exchange Commission on October 31, 2024. Registration No. 333-216962 Registration No. 333-234651 Registration No. 333-239574 Registration No. 333-272100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact na |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the U.S. Securities and Exchange Commission on October 31, 2024. As filed with the U.S. Securities and Exchange Commission on October 31, 2024. Registration No. 333-216962 Registration No. 333-234651 Registration No. 333-239574 Registration No. 333-272100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact na |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| October 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Comm |
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| October 11, 2024 |
AMENDMENT TO AMENDED AND RESTATED TRACON PHARMACEUTICALS, INC. Exhibit 3.2 AMENDMENT TO AMENDED AND RESTATED BYLAWS OF TRACON PHARMACEUTICALS, INC. The Amended and Restated Bylaws (the “Bylaws”) of TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), are hereby amended as follows: Article III, Section 8 of the Bylaws is hereby amended and restated in its entirety as follows: “Section 8. Quorum. At all meetings of stockholders, except where ot |
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| October 11, 2024 |
CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK OF TRACON PHARMACEUTICALS, INC. Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK OF TRACON PHARMACEUTICALS, INC. TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Corporation”), does hereby certify that, pursuant to the authority conferred upon the Board of Directors by the Amended and Restated Certificate of Incorporation of the Corporation (as amended and/or restated from time to time, the “Certifica |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy State |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Defini |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant a |
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| August 9, 2024 |
PRE 14A 1 pre14adissolutionmeet.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only |
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| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 30, 2024 |
TRACON Pharmaceuticals Announces it Will Wind Down Operations Exhibit 99.1 TRACON Pharmaceuticals Announces it Will Wind Down Operations San Diego, CA – July 30, 2024 – TRACON Pharmaceuticals (OTCQB: TCON) today announced that the Company has terminated its employees and will wind down its operations. This decision was made at a special meeting of the board of directors. The board of directors appointed Craig R. Jalbert, age 62, as the Company’s CEO, Preside |
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| July 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 01, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 19, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant |
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| May 14, 2024 |
TRACON Pharmaceuticals Reports First Quarter 2024 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports First Quarter 2024 Financial Results and Provides Corporate Update San Diego, CA – May 14, 2024 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life scie |
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| May 14, 2024 |
Amended Non-Employee Director Compensation Policy. Exhibit 10.1 TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy (Amended March 12, 2024) Each member of the Board of Directors (the “Board”) who is not also serving as an employee of TRACON Pharmaceuticals, Inc. (the “Company”) or any of its subsidiaries (each such member, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compensat |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 08, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 12, 2024 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-263590 PROSPECTUS SUPPLEMENT (To Prospectus Dated March 28, 2022) Up to $6,151,388 Common Stock We previously entered into a Capital on DemandTM Sales Agreement dated December 9, 2020, as amended on March 15, 2022 (Sales Agreement), with JonesTrading Institutional Services LLC (JonesTrading), relating to the shares of our common stock |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 12, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) TRACON Pharmaceuticals, Inc. |
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| April 12, 2024 |
As filed with the Securities and Exchange Commission on April 12, 2024. As filed with the Securities and Exchange Commission on April 12, 2024. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 34-2037594 (State or other jurisdiction of incorporation or organizatio |
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| April 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 8, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRACON PHARMACEUTICALS, INC. TRACON Pharmaceuticals, Inc. (the “Company”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify: FIRST: The original name of the Company was Lexington Pharmaceuticals, Inc. The date |
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| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 08, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 8, 2024 |
TRACON Pharmaceuticals Announces Reverse Stock Split Exhibit 99.1 TRACON Pharmaceuticals Announces Reverse Stock Split San Diego, CA – April 8, 2024 – TRACON Pharmaceuticals (NASDAQ: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent Product Development Platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life science companies, today announced that, following sto |
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| April 5, 2024 |
TCON / TRACON Pharmaceuticals, Inc. / Ikarian Capital, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) March 31, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to de |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 03, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 3, 2024 |
Exhibit 99.1 TRACON Pharmaceuticals Provides Update on Ongoing ENVASARC Phase 2 Pivotal Trial Following Independent Data Monitoring Committee Recommendation to Continue the Trial as Planned ENVASARC Trial is Fully Enrolled and Final Data are Expected in Third Quarter 2024 San Diego, CA – April 3, 2024 – TRACON Pharmaceuticals (NASDAQ: TCON), a clinical stage biopharmaceutical company utilizing a c |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Tracon Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89237H209 (CUSIP Number) January 12, 2024 (Date of Event which requires filing of) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| March 7, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) TRACON Pharmaceuticals, Inc. |
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| March 7, 2024 |
As filed with the Securities and Exchange Commission on March 7, 2024 As filed with the Securities and Exchange Commission on March 7, 2024 Registration No. |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact Name of Registrant as Speci |
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| March 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 05, 2024 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 5, 2024 |
License Agreement, dated November 17, 2023, by and between the Registrant and Inhibrx, Inc. Exhibit 10.19 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. License Agreement This License Agreement (this “Agreement”), effective as of November 17, 2023 (the “Effective Date”), is by and between Tracon Pharmaceuticals, Inc. (“Licensor”), |
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| March 5, 2024 |
Exhibit 99.1 TRACON Pharmaceuticals Reports Fourth Quarter and Year-End 2023 Financial Results and Provides Corporate Update San Diego, CA – March 5, 2024 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with |
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| March 5, 2024 |
TRACON Pharmaceuticals, Inc. Incentive Compensation Recoupment Policy. Exhibit 97.1 TRACON Pharmaceuticals, Inc. Incentive Compensation Recoupment Policy 1. Introduction The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) of TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incentive Compensation Recoupmen |
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| February 14, 2024 |
EX-99.1 2 tm246286d5ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the comple |
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| February 14, 2024 |
TCON / TRACON Pharmaceuticals, Inc. / Lincoln Park Capital Fund, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| February 9, 2024 |
TCON / TRACON Pharmaceuticals, Inc. / Opaleye Management Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Tracon Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) James Silverman, One Boston Place, 26th Floor, Boston, MA 02108 (Name, Address and Telephone Number of Person |
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| December 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Com |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 06, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Com |
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| November 20, 2023 |
Exhibit 99.1 TRACON Pharmaceuticals Announces License of Product Development Platform for $3.0 Million Upfront Payment San Diego, CA – November 20, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform (PDP) to advance its pipeline of novel targeted cancer therapeutics and to partner w |
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| November 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Com |
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| November 9, 2023 |
TRACON Pharmaceuticals Reports Third Quarter 2023 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Third Quarter 2023 Financial Results and Provides Corporate Update San Diego, CA – November 9, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 09, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Com |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registr |
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| October 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 02, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 18, 2023 |
Exhibit 99.1 TRACON Pharmaceuticals Announces ENVASARC Phase 2 Pivotal Trial Exceeded Futility Threshold at Final Interim Analysis and Will Continue as Planned Full ENVASARC accrual expected in Q4 and final data expected in mid-2024 San Diego, CA – September 18, 2023 – TRACON Pharmaceuticals (NASDAQ: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent prod |
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| September 18, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Co |
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| September 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 06, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Co |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant a |
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| August 14, 2023 |
TRACON Pharmaceuticals Reports Second Quarter 2023 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Second Quarter 2023 Financial Results and Provides Corporate Update San Diego, CA – August 14, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life |
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| August 14, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commi |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 11, 2023 |
Exhibit 99.1 TRACON Pharmaceuticals Announces Collection of Arbitration Award from I-Mab Biopharma Collection of Award Extends Cash Runway into early 2024 and Past Expected Full Accrual of the ENVASARC Pivotal Trial San Diego, CA – July 11, 2023 – TRACON Pharmaceuticals (NASDAQ: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platfo |
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| June 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 20, 2023 |
Exhibit 99.1 TRACON Pharmaceuticals Announces Positive Results Based on Ongoing Double-Digit Objective Response Rate for Single Agent Envafolimab in the ENVASARC Phase 2 Pivotal Trial Single Agent Envafolimab ORR Exceeded Futility Rule that will be Applied at the Interim Efficacy Analysis Expected in Q3 Continuing Double-Digit Objective Response Rate (ORR) by Blinded Independent Central Review Ach |
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| June 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 08, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commissi |
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| June 2, 2023 |
TCON / TRACON Pharmaceuticals Inc / Lincoln Park Capital Fund, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TRACON PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 89237H209 (CUSIP Number) May 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| June 2, 2023 |
EXHIBIT 99.1 Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concer |
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| May 31, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-272100 PROSPECTUS 5,000,000 Shares Common Stock This prospectus relates to the offer and resale, from time to time, of up to 5,000,000 shares of our common stock, par value $0.001 per share, by Lincoln Park Capital Fund, LLC, which we refer to in this prospectus as Lincoln Park or the selling stockholder. The shares of common stock to which thi |
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| May 26, 2023 |
TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 May 26, 2023 Via EDGAR Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Doris Stacey Gama RE: TRACON Pharmaceuticals, Inc. Registration Statement on Form S-1 Filed on May 19, 2023 File No. 333-272100 Ladies and Gentlemen: Pursuant to |
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| May 19, 2023 |
As filed with the Securities and Exchange Commission on May 19, 2023. As filed with the Securities and Exchange Commission on May 19, 2023. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 34-2037594 (State or other jurisdiction of incorporation or organization) |
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| May 19, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) TRACON Pharmaceuticals, Inc. |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commissi |
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| May 10, 2023 |
Exhibit 10.5 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of May 8, 2023, by and between TRACON PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to issue and sell to the Investor, |
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| May 10, 2023 |
Summary of Management Bonus Arrangement. Exhibit 10.3 TRACON PHARMACEUTICALS, INC. SUMMARY OF MANAGEMENT BONUS ARRANGEMENT In January 2023, the Compensation Committee of the Board of Directors of TRACON Pharmaceuticals, Inc. (the “Company”) approved a one-time discretionary bonus related to the results of the Company’s arbitration with I-Mab Biopharma (the “Arbitration Bonus”). The terms of the Arbitration Bonus establish a cash bonus po |
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| May 10, 2023 |
Exhibit 4.14 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of May 8, 2023, by and between TRACON PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with it permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shal |
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| May 10, 2023 |
Exhibit 10.2 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This Third Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of April 20, 2023, by and among TRACON PHARMACEUTICALS, INC., a Delaware corporation (“Borrower Representative”), and each other Person party to the Loan Agreement (as defined below) as a borrower from time to time (individually and collectively, joi |
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| May 10, 2023 |
Exhibit 10.1 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This Second Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of April 5, 2023, by and among TRACON PHARMACEUTICALS, INC., a Delaware corporation (“Borrower Representative”), and each other Person party to the Loan Agreement (as defined below) as a borrower from time to time (individually and collectively, jo |
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| May 10, 2023 |
TRACON Pharmaceuticals Reports First Quarter 2023 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports First Quarter 2023 Financial Results and Provides Corporate Update San Diego, CA – May 10, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life scie |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant |
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| May 4, 2023 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 25, 2023 |
TRACON Pharmaceuticals Announces Arbitration Award in Dispute with I-Mab Exhibit 99.1 TRACON Pharmaceuticals Announces Arbitration Award in Dispute with I-Mab San Diego, CA – April 25, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life science companies, today an |
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| April 25, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 20, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRACON PHARMACEUTICALS, INC. TRACON Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Company”), does hereby certify: FIRST: The original name of the Company was Lexington Pharmaceuticals, Inc. The date on which |
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| April 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2023 Tracon Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36818 34-2037594 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 22, 2023 |
TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 March 22, 2023 Via EDGAR Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Doris Stacey Gama RE: TRACON Pharmaceuticals, Inc. Registration Statement on Form S-3 File No. 333-270589 Ladies and Gentlemen: Pursuant to Rule 461 under the |
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| March 16, 2023 |
As filed with the Securities and Exchange Commission on March 15, 2023 As filed with the Securities and Exchange Commission on March 15, 2023 Registration No. |
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| March 16, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) TRACON Pharmaceuticals, Inc. |
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| March 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2023 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| March 9, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of March 9, 2023, is made by and among TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the Purchasers listed on Exhibit A hereto, together with their permitted transferees (each, a “Purchaser” and collectively, the “Purchasers”). RECITALS A. The Company and the Purch |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| March 9, 2023 |
Form of Pre-Funded Warrant to Purchase Common Stock Exhibit 4.1 FORM OF PRE-FUNDED WARRANT THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER APPLICABLE SEC |
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| March 8, 2023 |
Exhibit 99.1 TRACON Pharmaceuticals Reports Fourth Quarter and Year-End 2022 Financial Results and Provides Corporate Update San Diego, CA – March 8, 2023 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with |
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| March 8, 2023 |
Exhibit 10.18 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. Execution Version Dated as of December 22, 2022 Investment Agreement TRACON - Investment Agreement Contents SECTIONPage 1. Definitions1 2. Investment Obligations and Investors’ En |
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| March 8, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) TRACON Pharmaceuticals, Inc. |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact Name of Registrant as Speci |
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| March 8, 2023 |
DEF 14A 1 tcon-def14a20230419.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only ( |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 8, 2023 |
Severance Agreement by and between the Registrant and Bonne Adams, dated September 27, 2017 Exhibit 10.9 TRACON PHARMACEUTICALS, INC. SEVERANCE PLAN AMENDED AND RESTATED SEVERANCE AGREEMENT This Amended and Restated Severance Agreement (the "Agreement") is entered into by and between Bonne Adams ("you" or "your") and TRACON Pharmaceuticals, Inc. (the "Company") pursuant to the TRACON Pharmaceuticals, Inc. Severance Plan ("Plan"). Capitalized terms used herein but not otherwise defined ha |
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| March 8, 2023 |
As filed with the Securities and Exchange Commission on March 8, 2023 S-8 1 tcon-s8.htm S-8 As filed with the Securities and Exchange Commission on March 8, 2023 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRACON PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 34-2037594 (State or other jurisdiction of incorporation |
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| March 8, 2023 |
Exhibit 10.20 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT This First Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of December 22, 2022, by and among TRACON |
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| March 8, 2023 |
Employment Agreement by and between the Registrant and Bonne Adams, dated February 27, 2017 Exhibit 10.8 TRACON PHARMACEUTICALS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT For BONNE ADAMS This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the "Agreement") is made and entered into effective as of February 27, 2017 (the "Effective Date"), by and between TRACON Pharmaceuticals, Inc., a Delaware corporation (the "Company"), and Bonne Adams (the "Executive"). The Company and Executive are he |
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| March 8, 2023 |
TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy, as amended February 1, 2023 Exhibit 10.4 TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy (Adopted February 1, 2023) Each member of the Board of Directors (the “Board”) who is not also serving as an employee of TRACON Pharmaceuticals, Inc. (the “Company”) or any of its subsidiaries (each such member, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Director Compens |
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| March 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2023 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| February 14, 2023 |
TCON / TRACON Pharmaceuticals Inc / Ikarian Capital, LLC - SC 13G/A Passive Investment SC 13G/A 1 d438281dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement |
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| February 14, 2023 |
JOINT FILING AGREEMENT February 14, 2023 EX-99.1 2 d438281dex991.htm EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT February 14, 2023 Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Act or any rule o |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Tracon Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89237H209 (Cusip Number) December 31, 2022 (Date of Event which requires filing of) Check the appropriate box to designate the rule pursuant to which this Schedule th |
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| January 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2023 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number |
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| January 6, 2023 |
TRACON PHARMACEUTICALS Investor Presentation January 2023 NASDAQ: TCON Exhibit 99. |
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| January 6, 2023 |
tcon-8k20230106.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2023 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Com |
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| December 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| December 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| December 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registr |
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| November 14, 2022 |
TRACON Pharmaceuticals Reports Third Quarter 2022 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Third Quarter 2022 Financial Results and Provides Corporate Update San Diego, CA – November 14, 2022 – TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| September 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numb |
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| September 14, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numb |
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| September 14, 2022 |
Exhibit 99.1 TRACON Pharmaceuticals Announces Fast Track Designation by the FDA for Envafolimab for the Treatment of the Soft Tissue Sarcoma Subtypes of UPS and MFS San Diego, CA ? September 14, 2022 ? TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targ |
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| September 6, 2022 |
Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. LOAN AND SECURITY AGREEMENT This LOAN AND SECURITY AGREEMENT (as amended, restated, supplemented or otherwise modified from time to time, this ?Agreement?) dated as of September 2, |
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| September 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 2, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| September 6, 2022 |
Form of Warrant to Purchase Common Stock dated September 2, 2022. Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY, S |
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| August 26, 2022 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant a |
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| August 10, 2022 |
TRACON Pharmaceuticals Reports Second Quarter 2022 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Second Quarter 2022 Financial Results and Provides Corporate Update San Diego, CA ? August 10, 2022 ? TRACON Pharmaceuticals, Inc. (Nasdaq: TCON), a clinical stage biopharmaceutical company utilizing a cost-efficient, CRO-independent product development platform to advance its pipeline of novel targeted cancer therapeutics and to partner with other life |
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| August 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| July 15, 2022 |
424B5 1 tcon-424b5.htm 424B5 Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-263590 PROSPECTUS SUPPLEMENT (To Prospectus Dated March 28, 2022) Up to $8,207,228 Common Stock We previously entered into a Capital on DemandTM Sales Agreement dated December 9, 2020, as amended on March 15, 2022 (Sales Agreement), with JonesTrading Institutional Services LLC (JonesTrading), relating to t |
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| July 15, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 21, 2022 |
Form of Amended and Restated Pre-Funded Warrant 2 dated June 21, 2022 Exhibit 4.3 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER APPLICABLE SECURITIES LAWS OR UNLESS OFFE |
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| June 21, 2022 |
Form of Amended and Restated Pre-Funded Warrant 1 dated June 21, 2022 Exhibit 4.2 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER APPLICABLE SECURITIES LAWS OR UNLESS OFFE |
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| June 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 21, 2022 |
Form of Pre-Funded Warrant dated June 21, 2022 Exhibit 4.1 FORM OF PRE-FUNDED WARRANT TRACON PHARMACEUTICALS, INC. PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK No. PFW June 21, 2022 Void After June 21, 2032 THIS CERTIFIES THAT, for value received, [ ] or its permitted assigns (the ?Holder?), is entitled to subscribe for and purchase at the Exercise Price (defined below) from TRACON Pharmaceuticals, Inc., a Delaware corporation(the ?Company?) wi |
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| June 21, 2022 |
841,989 shares of common stock Pre-Funded Warrants to purchase 2,205,018 shares of common stock Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-263590 PROSPECTUS SUPPLEMENT (To Prospectus Dated March 28, 2022) 841,989 shares of common stock Pre-Funded Warrants to purchase 2,205,018 shares of common stock We are offering to a certain institutional investor 841,989 shares of our common stock at a price of $1.32 per share and pre-funded warrants to purchase 2,205,018 shares of c |
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| June 21, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 21, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commi |
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| June 21, 2022 |
Securities Purchase Agreement, between the Registrant and Opaleye L.P., dated June 21, 2022 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?), dated as of June 21, 2022, is made by and among TRACON Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and the Purchasers listed on Exhibit A hereto, together with their permitted transferees (each, a ?Purchaser? and collectively, the ?Purchasers?). The capitalized terms used herein and |
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| June 16, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) (I |
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| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) (I |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant |
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| May 11, 2022 |
TRACON Pharmaceuticals Reports First Quarter 2022 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports First Quarter 2022 Financial Results and Provides Corporate Update San Diego, CA ? May 11, 2022 ? TRACON Pharmaceuticals, Inc. (Nasdaq:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development platform to part |
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| April 29, 2022 |
TCON / TRACON Pharmaceuticals Inc / aaronson wayne - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.) Tracon Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89237H209 (Cusip Number) April 12, 2022 (Date of Event which requires filing of) Check the appropriate box to designate the rule pursuant to which this Schedule this is |
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| April 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| March 24, 2022 |
TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 March 24, 2022 Via EDGAR Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Alan Campbell RE: TRACON Pharmaceuticals, Inc. Registration Statement on Form S-3 File No. 333-263590 Ladies and Gentlemen: Pursuant to Rule 461 under the Secu |
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| March 17, 2022 |
TRACON PHARMACEUTICALS, INC. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 TRACON PHARMACEUTICALS, INC. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 March 16, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Delaying Amendment for TRACON Pharmaceuticals, Inc. Registration Statement on Form S-3 (File No. 333-263590) Ladies and Gentlemen: Reference is made to th |
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| March 16, 2022 |
Form of Preferred Stock Warrant Agreement and Warrant Certificate. Exhibit 4.11 TRACON PHARMACEUTICALS, INC. and , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF , 20 TRACON PHARMACEUTICALS, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT PREFERRED STOCK WARRANT AGREEMENT (this ?Agreement?), dated as of between TRACON Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and , a [corporation] [national banking association] organize |
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| March 16, 2022 |
EX-1.2 2 tcon-ex12185.htm EX-1.2 Exhibit 1.2 AMENDMENT NO. 1 TO CAPITAL ON DEMANDTM SALES AGREEMENT March 15, 2022 TRACON Pharmaceuticals, Inc. 4350 La Jolla Village Drive, Suite 800 San Diego, California 92122 Ladies and Gentlemen: TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), together with JonesTrading Institutional Services LLC (the “Agent”), are parties to that certain |
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| March 16, 2022 |
As filed with the Securities and Exchange Commission on March 15, 2022 As filed with the Securities and Exchange Commission on March 15, 2022 Registration No. |
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| March 16, 2022 |
As filed with the Securities and Exchange Commission on March 15, 2022 As filed with the Securities and Exchange Commission on March 15, 2022 Registration No. |
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| March 16, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) TRACON Pharmaceuticals, Inc. |
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| March 16, 2022 |
Form of Common Stock Warrant Agreement and Warrant Certificate Exhibit 4.10 TRACON PHARMACEUTICALS, INC. and , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF , 20 TRACON PHARMACEUTICALS, INC. FORM OF COMMON STOCK WARRANT AGREEMENT COMMON STOCK WARRANT AGREEMENT (this ?Agreement?), dated as of between TRACON Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and , a [corporation] [national banking association] organized and exi |
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| March 16, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) TRACON Pharmaceuticals, Inc. |
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| March 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| March 15, 2022 |
Exhibit 99.1 TRACON Pharmaceuticals Reports Fourth Quarter and Year-End 2021 Financial Results and Provides Corporate Update - Announced FDA Approval of Amended ENVASARC Protocol, ENVASARC Interim Efficacy Data on Track for 2H22 - Initiating combination trial of proprietary CTLA-4 with envafolimab in 2022 San Diego, CA ? March 15, 2022 ? TRACON Pharmaceuticals (Nasdaq: TCON), a clinical stage biop |
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| March 15, 2022 |
TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy, as amended January 28, 2022. Exhibit 10.4 TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy Each member of the Board of Directors (the ?Board?) who is not also serving as an employee of TRACON Pharmaceuticals, Inc. (the ?Company?) or any of its subsidiaries (each such member, a ?Non-Employee Director?) will receive the compensation described in this Non-Employee Director Compensation Policy (the ?Director |
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| March 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact Name of Registrant as Speci |
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| February 14, 2022 |
JOINT FILING AGREEMENT February 14, 2022 EXHIBIT 99.1 JOINT FILING AGREEMENT February 14, 2022 Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the ?Act?), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Act or any rule or regulation thereunder (including a |
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| February 14, 2022 |
TCON / TRACON Pharmaceuticals Inc / Ikarian Capital, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat |
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| January 27, 2022 |
TCON / TRACON Pharmaceuticals Inc / Linden Capital L.P. - SC 13G/A Passive Investment SC 13G/A 1 d296830dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* TRACON Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement |
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| January 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2022 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| January 5, 2022 |
TRACON PHARMACEUTICALS Investor Presentation January 2022 NASDAQ: TCON Exhibit 99. |
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| December 27, 2021 |
Exhibit 99.1 TRACON Pharmaceuticals Announces Positive Results from the Independent Data Monitoring Committee Review of Interim Safety and Efficacy Data from the Ongoing ENVASARC Pivotal Trial Pre-specified Interim Analysis Concluded with Recommendation to Continue the ENVASARC Trial Objective Response Rate (ORR) by Blinded Independent Central Review (BICR) in Each Cohort Satisfied the Bar for Fut |
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| December 27, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 27, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| November 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number |
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| November 3, 2021 |
Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE TRACON PHARMACEUTICALS, INC. HAS DETERMINED THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO TRACON PHARMACEUTICALS, INC. IF PUBLICLY DISCLOSED. COLLABORATIVE DEVELOPMENT AND COMMERCIALIZATION AGREEMENT This Collaborative Development and Commerciali |
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| November 3, 2021 |
TRACON Pharmaceuticals Reports Third Quarter 2021 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Third Quarter 2021 Financial Results and Provides Corporate Update San Diego, CA ? November 3, 2021 ? TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development platform to partne |
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| November 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registr |
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| October 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number |
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| October 13, 2021 |
TRACON Pharmaceuticals Announces Appointment of Carol Lam to its Board of Directors Exhibit 99.1 TRACON Pharmaceuticals Announces Appointment of Carol Lam to its Board of Directors San Diego, CA ? October 13, 2021 TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted therapeutics for cancer and utilizing a product development platform to partner with ex-U.S. companies to develop and comm |
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| October 12, 2021 |
Exhibit 99.1 TRACON Pharmaceuticals and Eucure Biopharma, a Subsidiary of Biocytogen, Announce Partnership for Development of Clinical Stage CTLA-4 Antibody YH001 YH001 is a potential best-in-class CTLA-4 antibody with enhanced ADCC and CDC effector functions YH001 is currently being dosed in multiple Phase 1 oncology trials sponsored by Eucure Biopharma in Australia and China TRACON intends to in |
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| October 12, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 8, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| August 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant a |
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| August 11, 2021 |
TRACON Pharmaceuticals Reports Second Quarter 2021 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Second Quarter 2021 Financial Results and Provides Corporate Update San Diego, CA ? August 11, 2021 ? TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development platform to partne |
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| July 22, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Commission File Number: 001-36818 Delaware 34-2037594 (State or other jurisdiction of |
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| July 22, 2021 |
As filed with the Securities and Exchange Commission on July 21, 2021 As filed with the Securities and Exchange Commission on July 21, 2021 Registration No. |
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| July 22, 2021 |
Free Writing Prospectus dated July 21, 2021 Filed Pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated July 21, 2021 Registration No. |
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| July 22, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-229990 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 8, 2019) 3,926,702 Shares Common Stock We are offering 3,926,702 shares of our common stock. Our common stock is listed on the Nasdaq Capital Market under the symbol ?TCON.? On July 20, 2021, the last reported sale price of our common stock on the Nasdaq Capital Market was $5.15 per shar |
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| July 22, 2021 |
EX-1.1 2 tcon-ex1118.htm EX-1.1 Exhibit 1.1 TRACON PHARMACEUTICALS, INC. 3,926,702 Shares of Common Stock (par value $0.001 per share) AMENDED AND RESTATED UNDERWRITING AGREEMENT July 21, 2021 H.C. WAINWRIGHT & CO., LLC As representative of the several underwriters c/o H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: TRACON Pharmaceuticals, Inc., a Delaware corpo |
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| July 21, 2021 |
SUBJECT TO COMPLETION, DATED JULY 21, 2021 Filed Pursuant to Rule 424(b)(5) Registration No. 333-229990 The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus do not constitute an offer to sell these securities and we are not soliciting an offer to buy these securities in any jurisdiction w |
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| July 21, 2021 |
TRACON PHARMACEUTICALS ANNOUNCES $10 MILLION BOUGHT DEAL OFFERING OF COMMON STOCK Free Writing Prospectus dated July 21, 2021 Filed Pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated July 21, 2021 Registration No. |
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| June 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 30, 2021 |
Exhibit 99.1 TRACON Pharmaceuticals, Inc. Amended and Restated 2015 Equity Incentive Plan Adopted by the Board of Directors: January 1, 2015 Approved by the Stockholders: January 16, 2015 IPO Date: January 29, 2015 First Amendment and Restatement: December 14, 2015 Second Amendment and Restatement: June 10, 2021 third Amendment and Restatement: June 28, 2021 1.General. (a)Successor to and Continua |
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| June 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| June 11, 2021 |
Exhibit 99.2 TRACON Pharmaceuticals, Inc. Amended and Restated 2015 Employee Stock Purchase Plan Adopted by the Board of Directors: January 1, 2015 Approved by the Stockholders: January 16, 2015 First Amendment and Restatement: JUNE 10, 2021 1.General; Purpose. (a)The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opport |
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| June 11, 2021 |
EX-99.1 2 tcon-ex9917.htm EX-99.1 Exhibit 99.1 TRACON Pharmaceuticals, Inc. Amended and Restated 2015 Equity Incentive Plan Adopted by the Board of Directors: January 1, 2015 Approved by the Stockholders: January 16, 2015 IPO Date: January 29, 2015 First Amendment and Restatement: December 14, 2015 Second Amendment and Restatement: June 10, 2021 1.General. (a)Successor to and Continuation of Prior |
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| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| May 5, 2021 |
TRACON Pharmaceuticals Reports First Quarter 2021 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports First Quarter 2021 Financial Results and Provides Corporate Update San Diego, CA ? May 5, 2021 ? TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development platform to partner wit |
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| May 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) (IR |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. (Exact name of registrant |
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| April 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| March 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) |
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| March 11, 2021 |
Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Tracon Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 89237H100 (CUSIP Number) Louis S. Citron, Esq. New Enterprise Associates 1954 Greenspring Drive, Suite 600, Timonium, MD 21093 (410) 8 |
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| March 8, 2021 |
TRACON Pharmaceuticals Announces Appointment of Lisa Johnson-Pratt, M.D., to its Board of Directors Exhibit 99.1 TRACON Pharmaceuticals Announces Appointment of Lisa Johnson-Pratt, M.D., to its Board of Directors San Diego, CA – March 8, 2021 TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted therapeutics for cancer and utilizing a product development platform to partner with ex-U.S. companies to dev |
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| March 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number) ( |
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| February 25, 2021 |
Exhibit 10.28 Amendment #2 Cooperative Research and Development Agreement #12-1-00012 ?Clinical Development of TRACON Pharmaceuticals, Inc.?s Compound TRC102 (methoxyamine HCl), a Small Molecule Inhibitor of Base Excision Repair, as an Anti-Cancer Agent? The purpose of this amendment is to change certain terms of the above-referenced Cooperative Research and Development Agreement (CRADA). These ch |
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| February 25, 2021 |
Exhibit 99.1 TRACON Pharmaceuticals Reports Fourth Quarter and Year-End 2020 Financial Results and Provides Corporate Update San Diego, CA – February 25, 2021 – TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development pla |
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| February 25, 2021 |
TRACON Pharmaceuticals, Inc. Bonus Plan, as amended January 29, 2021 EX-10.6 3 tcon-ex106550.htm EX-10.6 Exhibit 10.6 TRACON PHARMACEUTICALS, INC. BONUS PLAN The TRACON Pharmaceuticals, Inc. (“TRACON” or the “Company”) Bonus Plan (the “Plan”) is designed to reward eligible employees for the achievement of corporate objectives, as well as measured individual objectives that are consistent with and support the overall corporate objectives. ELIGIBILITY All regular emp |
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| February 25, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| February 25, 2021 |
10-K 1 tcon-10k20201231.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuticals, Inc. ( |
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| February 25, 2021 |
Employment Agreement by and between the Registrant and Mark Wiggins, dated January 27, 2021 Exhibit 10.8 TRACON PHARMACEUTICALS, INC. EMPLOYMENT AGREEMENT For MARK WIGGINS This Employment Agreement (the “Agreement”) is made and entered into effective as of January 27, 2021 (the “Effective Date”), by and between TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Mark Wiggins (the “Executive”). The Company and Executive are hereinafter collectively referred to as the |
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| February 25, 2021 |
TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy, as amended January 29, 2021. EX-10.4 2 tcon-ex104551.htm EX-10.4 Exhibit 10.4 TRACON Pharmaceuticals, Inc. Non-Employee Director Compensation Policy Each member of the Board of Directors (the “Board”) who is not also serving as an employee of TRACON Pharmaceuticals, Inc. (the “Company”) or any of its subsidiaries (each such member, a “Non-Employee Director”) will receive the compensation described in this Non-Employee Directo |
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| February 25, 2021 |
As filed with the Securities and Exchange Commission on February 25, 2021 Registration No. |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 4)* Tracon Pharmaceuticals, Inc. (Name of Issuer) Common stock, $0.001 par value (Title of Class of Securities) 89237H100 (CUSIP Number) December 31, 2020 (Date of Ev |
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| February 16, 2021 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) TRACON PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| February 9, 2021 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* TRACON Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 89237H209 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction of incorporation) (Comm |
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| January 5, 2021 |
EX-99.1 2 tcon-ex9916.htm EX-99.1 TRACON PHARMACEUTICALS Investor Presentation January 2021 NASDAQ: TCON Exhibit 99.1 This presentation contains statements that are, or may be deemed to be, "forward-looking statements." In some cases these forward-looking statements can be identified by the use of forward-looking terminology, including the terms “believes,” “estimates,” “anticipates,” "expects,” “ |
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| January 5, 2021 |
8-K 1 tcon-8k20210105.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2021 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdi |
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| December 29, 2020 |
Exhibit 99.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of December 28, 2020, is made by and among TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the Purchasers listed on Exhibit A hereto, together with their permitted transferees (each, a “Purchaser” and collectively, the “Purchasers”). The capitalized terms used herein |
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| December 29, 2020 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229990 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 8, 2019) 520,291 Shares Common Stock We are offering to certain institutional investors 520,291 shares of our common stock at a price of $9.61 per share pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is traded on the Nasdaq Capital Mark |
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| December 29, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2020 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| December 22, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2020 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Numbe |
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| December 22, 2020 |
EX-99.1 3 tcon-ex9917.htm EX-99.1 Exhibit 99.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”), dated as of December 21, 2020, is made by and among TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the Purchasers listed on Exhibit A hereto, together with their permitted transferees (each, a “Purchaser” and collectively, the “Purchasers”). |
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| December 22, 2020 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229990 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 8, 2019) 1,092,553 Shares Common Stock We are offering to certain institutional investors 1,092,553 shares of our common stock at a price of $8.06 per share pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is traded on the Nasdaq Capital |
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| December 9, 2020 |
Up to $50,000,000 Common Stock Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229990 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 8, 2019) Up to $50,000,000 Common Stock We have entered into a Capital on DemandTM Sales Agreement dated December 9, 2020, or Sales Agreement, with JonesTrading Institutional Services LLC, or JonesTrading, relating to the shares of our common stock offered by this prospectus su |
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| December 9, 2020 |
EX-3.1 2 tcon-ex3140.htm EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRACON PHARMACEUTICALS, INC. TRACON Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Company”), does hereby certify: FIRST: The original name of the Company was Lexington Pharmac |
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| December 9, 2020 |
EX-99.1 4 tcon-ex9916.htm EX-99.1 Exhibit 99.1 TRACON PHARMACEUTICALS, INC. Common Stock ($0.001 par value per share) Capital on Demand™ Sales Agreement December 9, 2020 JonesTrading Institutional Services LLC 757 Third Avenue, 23rd Floor New York, NY 10017 Ladies and Gentlemen: TRACON Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stat |
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| December 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2020 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other jurisdiction (Commission File Number |
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| November 10, 2020 |
10-Q 1 tcon-10q20200930.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-36818 TRACON Pharmaceuti |
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| November 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 tcon-8k20201110.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 TRACON Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36818 34-2037594 (State or other juris |
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| November 10, 2020 |
TRACON Pharmaceuticals Reports Third Quarter 2020 Financial Results and Provides Corporate Update Exhibit 99.1 TRACON Pharmaceuticals Reports Third Quarter 2020 Financial Results and Provides Corporate Update San Diego, CA – November 10, 2020 – TRACON Pharmaceuticals (NASDAQ:TCON), a clinical stage biopharmaceutical company focused on the development and commercialization of novel targeted cancer therapeutics and utilizing a cost efficient, CRO-independent product development platform to partn |
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| October 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| October 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
