SEC Form 4 · accession 0001104659-18-048805

Liquidia Technologies Inc · LQDA

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

Reporting owners

10% Owner

10% 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,F3	Jul 30, 2018	C	107,791	—	A	107,791	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to purchase Series D Preferred Stock^F2,F3	$0.01	Jul 30, 2018	J	313,503	D	Feb 17, 2017	Dec 31, 2026	Series D Preferred Stock	313,503	0	D
Warrant to purchase Common Stock^F2,F3	$0.01	Jul 30, 2018	J	18,630	A	Feb 17, 2017	Dec 31, 2026	Common Stock	18,630	18,630	D
Series D Preferred Stock^F1,F3	—	Jul 30, 2018	C	1,813,840	D	—	—	Common Stock	107,791	0	D

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.
F3This report on Form 4 is jointly filed by Mario Family Credit LLC Series D, Melmotte LLC and Mr. Mario. Melmotte LLC is the manager of Mario Family Credit LLC Series D, and Mr. Mario is the managing member of Melmotte LLC. 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.