SEC Form 4 · accession 0000898432-18-000882
Liquidia Technologies Inc · LQDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bill & Melinda Gates Foundation
10% Owner
Period of report
Jul 30, 2018
Accepted (ET)
Aug 1, 2018 · 5:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001330436
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 30, 2018 | C | 797,073 | — | A | 797,073 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C-1 Preferred StockF1 | — | Jul 30, 2018 | C | 11,286,115 | D | — | — | Common Stock | 797,073 | 0 | D |
Explanation of responses
- F1All shares of Series C-1 Preferred Stock, par value $0.001 per share, had no expiration date and automatically converted into the Issuer's common stock on approximately a 0.0706-for-1 basis immediately prior to the closing of the Issuer's initial public offering.