SEC Form 4 · accession 0000899243-19-005762
Liquidia Technologies Inc · LQDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 4, 2019
Accepted (ET)
Mar 4, 2019 · 4:14 pm EST
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 StockF2 | Mar 4, 2019 | X | 34,378 | $0.01 | A | 2,597,681 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to purchase Common StockF2 | $0.01 | Mar 4, 2019 | X | 34,378 | D | Jan 9, 2017 | Dec 31, 2026 | Common Stock | 34,378 | 0 | D |
Explanation of responses
- F1Transactions exempt pursuant to Rule 16b-6(b).
- F2Shares held directly by Canaan VIII L.P. ("Canaan LP"). Canaan Partners VIII LLC ("Canaan LLC" and together with Canaan LP, the "Canaan Entities") is the sole general partner of Canaan LP and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by Canaan LP. Investment and voting decisions with respect to the shares held by Canaan LP are made by the managers of Canaan LLC, collectively. Canaan LLC disclaims Section 16 beneficial ownership of the shares held by Canaan LP, except to the extent, if any, of its pecuniary interest therein.
Remarks
Exhibit 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Persons on July 25, 2018)