LIQUIDIA TECHNOLOGIES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 111 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-07-25: Reporting owner BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J; Form 3; Security Series C Preferred Stock; Transaction Holding.
- 2018-07-25: Reporting owner BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J; Form 3; Security Warrant to purchase Series D Preferred Stock; Transaction Holding.
- 2018-07-25: Reporting owner BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J; Form 3; Security Series D Preferred Stock; Transaction Holding.
- 2018-07-25: Reporting owner Alexandria Venture Investments, LLC; Form 3; Security Warrant to purchase Series D preferred stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-07-25 holding as of filing | BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase Series D Preferred Stock Derivative · Direct | Holding | $0.01 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | BASKETT FOREST | BARRETT M JAMES | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Alexandria Venture Investments, LLC 10% Owner | 3 | Warrant to purchase Series D preferred stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Alexandria Venture Investments, LLC 10% Owner | 3 | Series D preferred stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Zahir Fares | Xeraya LT Ltd 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Wakefield Group III, LLC 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | AL WEALTH PARTNERS PTE. LTD. | ALWP CAPITAL SPC LTD 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Bill & Melinda Gates Foundation 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Mario Jeremy | Melmotte LLC | Mario Family Credit LLC Series D 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Mario Jeremy | Melmotte LLC | Mario Family Credit LLC Series D 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2018-07-25 |