SEC Form 4 · accession 0001104659-18-048804
Liquidia Technologies Inc · LQDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
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 StockF1,F2,F3 | Jul 30, 2018 | C | 496,815 | — | A | 496,815 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Preferred StockF2,F3,F1 | — | Jul 30, 2018 | C | 8,360,085 | D | — | — | Common Stock | 496,815 | 0 | D |
Explanation of responses
- 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.
- F2These securities are held of record by Amereus Group PTE LTD ("Amereus "). Maxim Yuryevich Vorobyev, a natural person, is the sole shareholder and a director of Amereus. By virtue of such relationship, Mr. Vorobyev may be deemed to have beneficial ownership over such securities.
- F3This report on Form 4 is jointly filed by Amereus and Mr. Vorobyev. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.