SEC Form 4 · accession 0001104659-18-048816

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 · 5:16 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
Common stock^F1	Jul 30, 2018	C	131,497	—	A	136,474	D
Common stock^F2	Jul 30, 2018	C	58,031	—	A	194,505	D
Common stock^F3	Jul 30, 2018	C	53,568	—	A	248,073	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A-1 Preferred Stock^F1	—	Jul 30, 2018	C	954,241	D	—	—	Common Stock	131,497	0	D
Series B Preferred Stock^F2	—	Jul 30, 2018	C	410,328	D	—	—	Common Stock	58,031	0	D
Series D Preferred Stock^F3	—	Jul 30, 2018	C	901,423	D	—	—	Common Stock	53,568	0	D
Warrant to purchase Series D Preferred Stock^F4,F3	$0.01	Jul 30, 2018	J	156,751	D	Feb 8, 2017	Dec 31, 2026	Series D Preferred Stock	156,751	0	D
Warrant to purchase Common Stock^F4	$0.01	Jul 30, 2018	J	9,315	A	Feb 8, 2017	Dec 31, 2026	Common Stock	9,315	9,315	D

F1The Series A-1 preferred stock had no expiration date and automatically converted into the Issuer's common stock on approximately a 0.1378-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
F2The Series B preferred stock had no expiration date and automatically converted into the Issuer's common stock on approximately a 0.1414-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
F3The 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.
F4Immediately 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.