AL WEALTH PARTNERS PTE. LTD. 4
4 · Liquidia Technologies Inc · Filed Aug 1, 2018
Insider Transaction Report
Form 4
ALWP CAPITAL SPC LTD
10% Owner
Transactions
- Conversion
Series D Preferred Stock
2018-07-30−2,542,106→ 0 total(indirect: See Footnotes)→ Common Stock (151,070 underlying) - Conversion
Common Stock
2018-07-30+151,070→ 151,070 total(indirect: See Footnotes)
Footnotes (3)
- [F1]The 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.
- [F2]These securities are held on record by ALWP Capital Growth Segregated Portfolio Fund and ALWP Diversified Segregated Portfolio Fund, each of which is a segregated portfolio fund under ALWP Capital SPC Ltd ("ACSPC"). AL Wealth Partners Pte. Ltd. is the investment manager of the Funds, and has been granted voting and dispositive power, through discretionary mandates and board resolutions with respect to the securities held by ACSPC. By virtue of such relationships, the reporting persons may be deemed to have beneficial ownership over such securities.
- [F3]This report on Form 4 is jointly filed by ALWP Capital SPC Ltd and AL Wealth Partners Pte. Ltd. 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 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.