LIQUIDIA TECHNOLOGIES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-03-04: Reporting owner Bloch Stephen M; Form 4; Security Warrant to purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-03-04: Reporting owner Canaan Partners VIII LLC | Canaan VIII LP; Form 4; Security Warrant to purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-07-30: Reporting owner SANDELL SCOTT D; Form 4; Security Warrant to purchase Common Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2018-07-30: Reporting owner KERINS PATRICK J; Form 4; Security Warrant to purchase Common Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-03-04 | Bloch Stephen M Director | 4 | Warrant to purchase Common Stock Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −34,378 0 owned after | $0.01 exercise price | 2019-03-04 | |
| 2019-03-04 | Canaan Partners VIII LLC | Canaan VIII LP 10% Owner | 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −34,378 0 owned after | $0.01 exercise price | 2019-03-04 | |
| 2018-07-30 | SANDELL SCOTT D 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | KERINS PATRICK J 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | BASKETT FOREST 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | BARRIS PETER J 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | BARRETT M JAMES 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See Note 2 | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Alexandria Venture Investments, LLC 10% Owner | 4 | Warrant to purchase common stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +27,945 27,945 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +40,702 40,702 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Wakefield Group IV, LLC 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +9,315 9,315 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Sovereign's Capital II, LP 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +9,315 9,315 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Morningside Venture Investments Ltd 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +18,996 18,996 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Bloch Stephen M Director | 4 | Warrant to purchase Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +34,378 34,378 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Mario Jeremy | Melmotte LLC | Mario Family Credit LLC Series D 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +18,630 18,630 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Canaan VIII LP | Canaan Partners VIII LLC 10% Owner | 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +34,378 34,378 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-30 | Medical Mutual Holdings, Inc. 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +27,945 27,945 owned after | $0.01 exercise price | 2018-08-01 | |
| 2018-07-25 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series D Warrants Derivative · Indirect · See Footnote | Holding | $0.01 exercise price | 2018-07-25 |