Medical Mutual Holdings, Inc. 4
4 · Liquidia Technologies Inc · Filed Aug 1, 2018
Insider Transaction Report
Form 4Exit
Medical Mutual Holdings, Inc.
10% Owner
Transactions
- Conversion
Common stock
[F1]2018-07-30+160,445→ 160,445 total - Conversion
Series D Preferred Stock
[F1][F3]2018-07-30−2,699,872→ 0 total(indirect: See footnote)→ Common Stock (160,445 underlying) - Other
Warrant to purchase Series D Preferred Stock
[F2][F3]2018-07-30−470,254→ 0 total(indirect: See footnote)Exercise: $0.01From: 2017-01-12Exp: 2026-12-31→ Series D Preferred Stock (470,254 underlying) - Other
Warrant to purchase Common Stock
[F2][F3]2018-07-30+27,945→ 27,945 total(indirect: See footnote)Exercise: $0.01From: 2017-01-12Exp: 2026-12-31→ Common Stock (27,945 underlying)
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]Immediately 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.
- [F3]These securities are held of record by MMIC Investment Holdings ("MMIC"). Medical Mutual Holdings, Inc. is the sole shareholder of MMIC and has exclusive voting and dispositive power over the securities.
Signature
/s/ Jason Sandner, Chief Financial Officer|2018-08-01