# EDGAR Filing Document

**Accession Number:** 0001965232
**File Stem:** 0001209191-23-008210
**Filing Date:** 2023-2
**Character Count:** 8300
**Document Hash:** ef4fbaef92ae502cef04b2ffeaea40c8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-008210.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001209191-23-008210

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230201

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Adams Bonne J.
- **CENTRAL INDEX KEY:** 0001965232

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36818
- **FILM NUMBER:** 23608306

**MAIL ADDRESS:**
- **STREET 1:** C/O TRACON PHARMACEUTICALS, INC.
- **STREET 2:** 4350 LA JOLLA VILLAGE DRIVE, SUITE 800
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92122
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Tracon Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001394319
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 342037594
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4350 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 800
- **CITY:** San Diego
- **STATE:** CA
- **ZIP:** 92122
- **BUSINESS PHONE:** 858-550-0780

**MAIL ADDRESS:**
- **STREET 1:** 4350 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 800
- **CITY:** San Diego
- **STATE:** CA
- **ZIP:** 92122

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Tracon Pharmaceuticals Inc
- **DATE OF NAME CHANGE:** 20070324

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Adams Bonne J.<br><sub>(Last) (First) (Middle)</sub><br>C/O TRACON PHARMACEUTICALS, INC.<br>4350 LA JOLLA VILLAGE DRIVE, SUITE 800<br><sub>(Street)</sub><br>SAN DIEGO, CA 92122<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Tracon Pharmaceuticals, Inc. [ TCON ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-02-01 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Operating Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 4267<sup>(1)(2)</sup> | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Employee Stock Options (Right to Buy) | <sup>(3)</sup> | 2023-03-13 | Common Stock | 516 | $13.352 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(4)</sup> | 2023-05-22 | Common Stock | 1360 | $13.352 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(5)</sup> | 2024-10-02 | Common Stock | 2015 | $70.434 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(5)(6)</sup> | 2024-10-02 | Common Stock | 1078 | $70.434 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(7)</sup> | 2025-03-24 | Common Stock | 4122 | $146.20 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(8)</sup> | 2027-01-19 | Common Stock | 5499 | $51.50 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(9)</sup> | 2028-02-20 | Common Stock | 6591 | $21.50 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(10)</sup> | 2029-01-28 | Common Stock | 12499 | $7.90 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(11)</sup> | 2030-01-30 | Common Stock | 17600 | $4.02 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(12)</sup> | 2031-01-28 | Common Stock | 55000 | $9.14 | D |  |
| Employee Stock Options (Right to Buy) | <sup>(13)</sup> | 2032-01-27 | Common Stock | 80000 | $2.32 | D |  |

---

### Footnotes:

(1) Includes 3,500 shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on April 20, 2021.

(2) Includes 767 of the 2,595 restricted stock units granted to the Reporting Person on January 21, 2016.  1/4th of the award vested annually on each anniversary date of the grant.  The Reporting Person sold the other 1,828 restricted stock units following settlement and prior to being required to report pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended.

(3) The shares subject to the option vest and become exercisable in 48 equal monthly installments commencing March 14, 2013.

(4) The shares subject to the option vest and become exercisable in 48 equal monthly installments commencing May 23, 2013.

(5) 1/4th of the shares subject to this option shall vest on the first anniversary of October 3, 2014. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month.

(6) The shares subject to this option will be forfeited if the Company's initial public offering is not completed on or before March 31, 2015.

(7) 1/4th of the shares subject to this option shall vest on the first anniversary of March 25, 2015. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month.

(8) 1/4th of the shares subject to this option shall vest on the first anniversary of January 20, 2017. The remaining shares vest and become exercisable in 36 equal monthly installments on the 20th of each month thereafter.

(9) 1/4th of the shares subject to this option shall vest on the first anniversary of February 21, 2018. The remaining shares vest and become exercisable in 36 equal monthly installments on the 21st of each month thereafter.

(10) 1/4th of the shares subject to this option shall vest on the first anniversary of January 29, 2019. The remaining shares vest and become exercisable in 36 equal monthly installments on the 29th of each month thereafter.

(11) 1/4th of the shares subject to this option shall vest on the first anniversary of January 31, 2020. The remaining shares vest and become exercisable in 36 equal monthly installments on the 31st of each month thereafter.

(12) 1/4th of the shares subject to this option shall vest on the first anniversary of January 29, 2021. The remaining shares vest and become exercisable in 36 equal  monthly installments on the 29th of each month thereafter.

(13) 1/4th of the shares subject to this option shall vest on the first anniversary of January 28, 2022. The remaining shares vest and become exercisable in 36 equal monthly installments on the 28th of each month thereafter.

**Signature:** /s/ Scott B. Brown, Attorney-in-Fact  
**Date:** 2023-02-09

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**