Wakefield Group IV, LLC 3
3 · Liquidia Technologies Inc · Filed Jul 25, 2018
Insider Transaction Report
Form 3
Wakefield Group IV, LLC
10% Owner
Holdings
- 4,977
Common Stock
Series D Preferred Stock
→ Common Stock (53,568 underlying)Series A-1 Preferred Stock
→ Common Stock (131,497 underlying)Warrant to purchase Series D Preferred Stock
Exercise: $0.01From: 2017-02-08Exp: 2026-12-31→ Series D Preferred Stock (9,315 underlying)Series B Preferred Stock
→ Common Stock (58,031 underlying)
Footnotes (4)
- [F1]All shares of Series A-1 Preferred Stock, par value $0.001 per share, have no expiration date and will automatically convert 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.
- [F2]All shares of Series B Preferred Stock, par value $0.001 per share, have no expiration date and will automatically convert 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.
- [F3]All shares of Series D Preferred Stock, par value $0.001 per share (the "Series D Preferred Stock"), have no expiration date and will automatically convert 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.
- [F4]Following the automatic conversion of the Series D Preferred Stock, the Warrant to purchase Series D Preferred Stock will be exercisable into 9,315 shares of the Issuer's common stock at an exercise price of $0.01 per share.