4//SEC Filing
Bloch Stephen M 4
Accession 0001104659-18-048808
CIK 0001330436other
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 5:13 PM ET
Size
31.3 KB
Accession
0001104659-18-048808
Insider Transaction Report
Form 4
Bloch Stephen M
Director
Transactions
- Conversion
Common Stock
2018-07-30+87,837→ 90,536 total(indirect: See footnote) - Conversion
Common Stock
2018-07-30+31,471→ 211,637 total(indirect: See footnote) - Purchase
Common Stock
2018-07-30$11.00/sh+727,273$8,000,003→ 2,563,303 total(indirect: See footnote) - Conversion
Series A-1 Preferred Stock
2018-07-30−650,427→ 0 total(indirect: See footnote)→ Common Stock (89,630 underlying) - Other
Warrant to purchase Series D Preferred Stock
2018-07-30−578,498→ 0 total(indirect: See footnote)Exercise: $0.01From: 2017-01-09Exp: 2026-12-31→ Series D Preferred Stock (578,498 underlying) - Conversion
Common Stock
2018-07-30+89,630→ 180,166 total(indirect: See footnote) - Conversion
Common Stock
2018-07-30+944,127→ 1,836,030 total(indirect: See footnote) - Conversion
Series A Preferred Stock
2018-07-30−918,657→ 0 total(indirect: See footnote)→ Common Stock (87,837 underlying) - Conversion
Series D Preferred Stock
2018-07-30−15,887,155→ 0 total(indirect: See footnote)→ Common Stock (944,127 underlying) - Other
Warrant to purchase Common Stock
2018-07-30+34,378→ 34,378 total(indirect: See footnote)Exercise: $0.01From: 2017-01-09Exp: 2026-12-31→ Common Stock (34,378 underlying) - Conversion
Common Stock
2018-07-30+680,266→ 891,903 total(indirect: See footnote) - Conversion
Series B Preferred Stock
2018-07-30−222,529→ 0 total(indirect: See footnote)→ Common Stock (31,471 underlying) - Conversion
Series C Preferred Stock
2018-07-30−5,254,658→ 0 total(indirect: See footnote)→ Common Stock (680,266 underlying)
Footnotes (7)
- [F1]The Series A preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.0956-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
- [F2]The Series A-1 preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.1378-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
- [F3]The Series B preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.1414-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
- [F4]The Series C preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.1295-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
- [F5]The Series D preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.0594-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
- [F6]Immediately prior to the closing of the Issuer's initial public offering and without payment of further consideration, the Warrant 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.
- [F7]The securities are held directly by Canaan VIII L.P. ("Canaan LP"). Canaan Partners VIII LLC ("Canaan LLC" and together with Canaan LP, the "Canaan Entities") is the sole general partner of Canaan LP. Investment and voting decisions with respect to the securities held by Canaan LP are made by the managers of Canaan LLC, collectively. Dr. Bloch disclaims beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest, if any, in such securities by virtue of the limited liability company interests he owns in Canaan LLC.
Documents
Issuer
Liquidia Technologies Inc
CIK 0001330436
Entity typeother
Related Parties
1- filerCIK 0001400308
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 5:13 PM ET
- Size
- 31.3 KB