SEC Form 4 · accession 0001104659-18-048803

Liquidia Technologies Inc · LQDA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Jul 30, 2018

Accepted (ET)

Aug 1, 2018 · 5:12 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 stock^F1	Jul 30, 2018	C	160,445	—	A	160,445	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series D Preferred Stock^F3,F1	—	Jul 30, 2018	C	2,699,872	D	—	—	Common Stock	160,445	0	I
Warrant to purchase Series D Preferred Stock^F2,F3	$0.01	Jul 30, 2018	J	470,254	D	Jan 12, 2017	Dec 31, 2026	Series D Preferred Stock	470,254	0	I
Warrant to purchase Common Stock^F2,F3	$0.01	Jul 30, 2018	J	27,945	A	Jan 12, 2017	Dec 31, 2026	Common Stock	27,945	27,945	I

F1The Series D preferred stock had no expiration date and automatically converted into the Issuer's common stock on approximately a 0.0594-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
F2Immediately prior to the closing of the Issuer's initial public offering and without payment of further consideration, the Warrants to purchase Series D Preferred Stock automatically became exercisable to purchase the Issuer's common stock. The transaction is listed solely for the purpose of reporting the change of the title and amount of securities underlying the warrant.
F3These securities are held of record by MMIC Investment Holdings ("MMIC"). Medical Mutual Holdings, Inc. is the sole shareholder of MMIC and has exclusive voting and dispositive power over the securities.