PAPPAS CAPITAL, LLC 4
Accession 0001144204-18-041397
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 5:00 PM ET
Size
20.1 KB
Accession
0001144204-18-041397
Insider Transaction Report
- Conversion
Series C Preferred Stock, par value $0.001 per share
2018-07-30−1,481,553→ 0 total(indirect: See footnotes)→ Common Stock (191,788 underlying) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+97,287→ 289,075 total(indirect: See footnotes) - Conversion
Series D Preferred Stock, par value $0.001 per share
2018-07-30−1,637,091→ 0 total(indirect: See footnotes)→ Common Stock (97,287 underlying) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+191,788→ 191,788 total(indirect: See footnotes)
- Conversion
Common Stock, par value $0.001 per share
2018-07-30+97,287→ 289,075 total(indirect: See footnotes) - Conversion
Series D Preferred Stock, par value $0.001 per share
2018-07-30−1,637,091→ 0 total(indirect: See footnotes)→ Common Stock (97,287 underlying) - Conversion
Series C Preferred Stock, par value $0.001 per share
2018-07-30−1,481,553→ 0 total(indirect: See footnotes)→ Common Stock (191,788 underlying) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+191,788→ 191,788 total(indirect: See footnotes)
- Conversion
Common Stock, par value $0.001 per share
2018-07-30+191,788→ 191,788 total(indirect: See footnotes) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+97,287→ 289,075 total(indirect: See footnotes) - Conversion
Series C Preferred Stock, par value $0.001 per share
2018-07-30−1,481,553→ 0 total(indirect: See footnotes)→ Common Stock (191,788 underlying) - Conversion
Series D Preferred Stock, par value $0.001 per share
2018-07-30−1,637,091→ 0 total(indirect: See footnotes)→ Common Stock (97,287 underlying)
- Conversion
Common Stock, par value $0.001 per share
2018-07-30+191,788→ 191,788 total(indirect: See footnotes) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+97,287→ 289,075 total(indirect: See footnotes) - Conversion
Series D Preferred Stock, par value $0.001 per share
2018-07-30−1,637,091→ 0 total(indirect: See footnotes)→ Common Stock (97,287 underlying) - Conversion
Series C Preferred Stock, par value $0.001 per share
2018-07-30−1,481,553→ 0 total(indirect: See footnotes)→ Common Stock (191,788 underlying)
- Conversion
Series C Preferred Stock, par value $0.001 per share
2018-07-30−1,481,553→ 0 total(indirect: See footnotes)→ Common Stock (191,788 underlying) - Conversion
Series D Preferred Stock, par value $0.001 per share
2018-07-30−1,637,091→ 0 total(indirect: See footnotes)→ Common Stock (97,287 underlying) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+97,287→ 289,075 total(indirect: See footnotes) - Conversion
Common Stock, par value $0.001 per share
2018-07-30+191,788→ 191,788 total(indirect: See footnotes)
Footnotes (5)
- [F1]The Series C Preferred Stock, par value $0.001 per share, converted into Common Stock, par value $0.001 per share, on approximately a 0.1295-for-1 basis and had no expiration date.
- [F2]1,414,240 shares of Series C Preferred Stock, converted into 183,074 shares of Common Stock, are held of record by A.M. Pappas Life Science Ventures IV, L.P. ("Pappas Ventures"), and 67,313 shares of Series C Preferred Stock, converted into 8,714 shares of Common Stock, are held of record by PV IV CEO Fund, L.P. (the "CEO Fund" and, together with Pappas Ventures, the "Funds").
- [F3]The Series D Preferred Stock, par value $0.001 per share, converted into Common Stock, par value $0.001 per share, on approximately a 0.0594-for-1 basis and had no expiration date.
- [F4]1,562,712 shares of Series D Preferred Stock, converted into 92,867 shares of Common Stock, are held of record by Pappas Ventures, and 74,379 shares of Series D Preferred Stock, converted into 4,420 shares of Common Stock, are held by the CEO Fund.
- [F5]AMP&A Management IV, LLC ("Management IV") is the general partner of each of the Funds and has a management agreement with Pappas Capital, LLC ("Pappas Capital") whereby Pappas Capital provides management services for the Funds. As a result, Pappas Capital's investment committee exercises sole dispositive and voting power over the securities owned by the Funds. Mr. Arthur Pappas is the sole managing member of Pappas Capital. By virtue of these relationships, Management IV, Pappas Capital and Mr. Pappas may be deemed to beneficially own the securities owned directly by the Funds. Each of Management IV, Pappas Capital and Mr. Pappas disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
Documents
Issuer
Liquidia Technologies Inc
CIK 0001330436
Related Parties
1- filerCIK 0001320654
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 5:00 PM ET
- Size
- 20.1 KB