Form 4 for TLPH TALPHERA, INC.
Accepted 2024-03-15 00:00:00 ET · period of report 2024-03-15 · accession 0001104659-24-034986 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2024-03-15 | 2024-03-15 | TLPH | Mack Daniel | 10%, See remarks | X - OptEx | $5.00 | +755.0K | 1.99M | +61% | +$3.77M |
| DI | 2024-03-15 | 2024-03-15 | TLPH | Mack Daniel | 10%, See remarks | X - OptEx | $0.00 | -755.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-03-15 | X | A | 755,000 | $5.00 | 1,992,519 | I See footnote | — | — | (F1) Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and held certain derivative securities related thereto (the "Derivatives"), including the put options disclosed in this Form 4, may be deemed or have been deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| 2 | Derivative | Put Option (obligation to buy) | 2024-03-15 | X | D | 755,000 | $0.00 | 0 | I See footnote | $5.00 · 2024-03-15 to 2024-03-15 | 755,000 Common Stock | (F1) Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and held certain derivative securities related thereto (the "Derivatives"), including the put options disclosed in this Form 4, may be deemed or have been deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the securities disclosed herein except to the extent of their respective pecuniary interests therein. |