Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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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 this is filed.
| ¨ | Rule 13d-1(b) |
| x | Rule 13d-1(c) |
| ¨ | Rule 13d-1(d) |
SCHEDULE 13G
CUSIP NO. 89237H209 | Page 2 of 4 |
1 | NAMES OF REPORTING PERSONS
WAYNE AARONSON |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ |
3 | SEC USE ONLY
|
4 | CITIZENSHIP
UNITED STATES |
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER
716,925 shares |
6 | SHARED VOTING POWER
no shares | |
7 | SOLE DISPOSITIVE POWER
716,925 shares | |
8 | SHARED DISPOSITIVE POWER
no shares |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
716,925 |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
N/A |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3% |
12 | TYPE OF REPORTING PERSON
Individual |
CUSIP NO. 89237H209 | Page 3 of 4 |
Item 1. |
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| (a) | Name of Issuer: |
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| Tracon Pharmaceuticals, Inc. |
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| (b) | Address of Issuer’s Principal Executive Offices: |
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| 4350 La Jolla Village Drive, Suite 800 |
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| San Diego, CA 92122 |
Item 2. |
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| (a) | Name of Person Filing: |
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| WAYNE AARONSON |
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| (b) | Address of Principal Business Office or, if none, Residence |
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| 1011 Fresno Ave. |
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| Berkeley, CA 94707 |
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| (c) | Citizenship: |
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| United States |
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| (d) | Title of Class of Securities |
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| Common Stock |
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| (e) | CUSIP Number |
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| 89237H209 |
Item 3.
N/A
CUSIP NO. 89237H209 | Page 4 of 4 |
Item 4. | Ownership. |
(a)716,945 shares of common stock held by Wayne Aaronson
Roth IRA and no common stock held by Aaronson
Revocable Trust, Wayne Aaronson and Joy Chiyo Goto
co-trustees.
b)Percent of class: 2.3% based on 31,144,335 shares of Common Stock outstanding as of November 9, 2023 per Tracon's 10-K. 0 Number of shares as to which the person has:
(i)Sole power to vote or to direct the vote: 716,925
(ii)Shared power to vote or to direct the vote: 0
(iii)Sole power to dispose or to direct the disposition of: 716.925
(iv)Shared power to dispose or to direct the disposition of: 0
Item 5. | Ownership of Five Percent or Less of a Class. |
XX
Item 6. | Ownership of More than Five percent on Behalf of Another Person: |
n/a
Item 8. | ID of Members of the Group:. |
n/a
Item 9. | Notice of Dissolution of Group. |
n/a
Item 10. | Certifications. |
n/a After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete, and correct:
March 15, 2023
By: | /s/Wayne Aaronson |
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| Wayne Aaronson |
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