4//SEC Filing
Wakefield Group IV, LLC 4
Accession 0001104659-18-048816
CIK 0001330436other
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 5:16 PM ET
Size
19.5 KB
Accession
0001104659-18-048816
Insider Transaction Report
Form 4
Wakefield Group IV, LLC
10% Owner
Transactions
- Conversion
Common stock
2018-07-30+58,031→ 194,505 total - Conversion
Series A-1 Preferred Stock
2018-07-30−954,241→ 0 total→ Common Stock (131,497 underlying) - Conversion
Series B Preferred Stock
2018-07-30−410,328→ 0 total→ Common Stock (58,031 underlying) - Conversion
Series D Preferred Stock
2018-07-30−901,423→ 0 total→ Common Stock (53,568 underlying) - Other
Warrant to purchase Common Stock
2018-07-30+9,315→ 9,315 totalExercise: $0.01From: 2017-02-08Exp: 2026-12-31→ Common Stock (9,315 underlying) - Conversion
Common stock
2018-07-30+131,497→ 136,474 total - Conversion
Common stock
2018-07-30+53,568→ 248,073 total - Other
Warrant to purchase Series D Preferred Stock
2018-07-30−156,751→ 0 totalExercise: $0.01From: 2017-02-08Exp: 2026-12-31→ Series D Preferred Stock (156,751 underlying)
Footnotes (4)
- [F1]The 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.
- [F2]The 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.
- [F3]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.
- [F4]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.
Documents
Issuer
Liquidia Technologies Inc
CIK 0001330436
Entity typeother
IncorporatedNC
Related Parties
1- filerCIK 0001747844
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 5:16 PM ET
- Size
- 19.5 KB