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HARROW, INC. — Director's Dealing 2020
May 23, 2020
31774_dirs_2020-05-22_9754a58a-bb52-488b-ad68-e21b2fa02789.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HARROW HEALTH, INC. (HROW)
CIK: 0001360214
Period of Report: 2020-05-20
Reporting Person: Opaleye Management Inc. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-05-20 | Common Stock, par value $0.0001 per share | P | 300 | $4.47 | Acquired | 2480800 | Indirect |
| 2020-05-20 | Common Stock, par value $0.0001 per share | P | 1200 | $4.4981 | Acquired | 119800 | Indirect |
| 2020-05-21 | Common Stock, par value $0.0001 per share | P | 10396 | $4.6555 | Acquired | 2491196 | Indirect |
| 2020-05-21 | Common Stock, par value $0.0001 per share | P | 200 | $4.6981 | Acquired | 120000 | Indirect |
| 2020-05-22 | Common Stock, par value $0.0001 per share | P | 8804 | $5.0527 | Acquired | 2500000 | Indirect |
| 2020-05-22 | Common Stock, par value $0.0001 per share | P | 5000 | $5.021 | Acquired | 125000 | Indirect |
Footnotes
F1: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.47. The range of purchase prices on the transaction date was $4.40 to $4.505 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
F2: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.
F3: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.
F4: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.6555. The range of purchase prices on the transaction date was $4.605 to $4.747 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
F5: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.0527. The range of purchase prices on the transaction date was $4.72 to $5.34 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
F6: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.021. The range of purchase prices on the transaction date was $4.70 to $5.20 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.