SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
ALWP CAPITAL SPC LTD

(Last) (First) (Middle)
C/O AL WEALTH PARTNERS PTE LTD,
#18-02A, ONE TEMASEK AVENUE

(Street)
SINGAPORE 039192

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/25/2018
3. Issuer Name and Ticker or Trading Symbol
Liquidia Technologies Inc [ LQDA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series D Preferred Stock (1) (1) Common Stock 151,070 (1) I See Footnotes(2)(3)
1. Name and Address of Reporting Person*
ALWP CAPITAL SPC LTD

(Last) (First) (Middle)
C/O AL WEALTH PARTNERS PTE LTD,
#18-02A, ONE TEMASEK AVENUE

(Street)
SINGAPORE 039192

(City) (State) (Zip)
1. Name and Address of Reporting Person*
AL WEALTH PARTNERS PTE. LTD.

(Last) (First) (Middle)
C/O AL WEALTH PARTNERS PTE LTD,
#18-02A, ONE TEMASEK AVENUE

(Street)
SINGAPORE 039192

(City) (State) (Zip)
Explanation of Responses:
1. All shares of Series D Preferred Stock, par value $0.001 per share, have no expiration date and will automatically convert into the Issuer's common stock on approximately a 0.0594- for-1 basis immediately prior to the closing of the initial public offering.
2. These securities are held on record by ALWP Capital Growth Segregated Portfolio Fund and ALWP Diversified Segregated Portfolio Fund, each of which is a segregated portfolio fund under ALWP Capital SPC Ltd ("ACSPC"). AL Wealth Partners Pte. Ltd. is the investment manager of the Funds, and has been granted voting and dispositive power, through discretionary mandates and board resolutions with respect to the securities held by ACSPC. By virtue of such relationships, the reporting persons may be deemed to have beneficial ownership over such securities.
3. This report on Form 3 is jointly filed by ALWP Capital SPC Ltd and AL Wealth Partners Pte. Ltd. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
ALWP CAPITAL SPC LTD By: /s/ Leonardo Drago Authorized Signatory 07/25/2018
AL WEALTH PARTNERS PTE LTD By: /s/ Hui May Yan Anthonia Authorized Signatory 07/25/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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