SEC Form 3 · accession 0001104659-18-047093
Liquidia Technologies Inc · LQDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Rudnick
Director
Period of report
Jul 25, 2018
Accepted (ET)
Jul 25, 2018 · 8:44 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 | holding | — | — | — | 24,142 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $1.85 | holding | — | — | — | May 12, 2011 | Nov 23, 2020 | Common Stock | 10,541 | — | D |
| Stock Options | $3.87 | holding | — | — | — | Nov 21, 2014 | Nov 21, 2023 | Common Stock | 4,628 | — | D |
| Stock OptionsF2 | $4.71 | holding | — | — | — | Aug 1, 2015 | May 21, 2025 | Common Stock | 12,182 | — | D |
| Stock OptionsF3 | $9.31 | holding | — | — | — | Mar 7, 2019 | Mar 7, 2028 | Common Stock | 55,267 | — | D |
Explanation of responses
- F1Held by Dr. Rudnick and the Carolyn F. Rudnick, and successors, Trustee Seth A. Rudnick Irrevocable GST Trust u/a 3/1/2014 which is managed by Dr. Rudnick's wife for the benefit of his wife and children.
- F2Such options vest in equal monthly installments on the first day of each month starting August 1, 2015.
- F31/3 of such options vest on March 7, 2019, with the remainder vesting in 24 equal monthly installments on the first day of each month thereafter.
Remarks
Exhibit 24 - Power of Attorney