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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/25/2018 |
3. Issuer Name and Ticker or Trading Symbol
Liquidia Technologies Inc [ LQDA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) | |||||||
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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 C Preferred Stock | (1) | (1) | Common Stock | 442,819 | (1) | D(2)(3) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. All shares of Series C 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 0.1295-for-1 basis immediately prior to the closing of the initial public offering. |
2. These securities are held of record by Pharmaceutical Product Development, LLC ("Pharma LLC"). Wildcat Acquisition Holdings (UK) Limited ("Wildcat") is the sole member of Pharma LLC; Jaguar Holding Company II ("Jaguar II") is the sole shareholder of Wildcat; Jaguar Holding Company I, LLC ("Jaguar I") is the sole shareholder of Jaguar II; Eagle Holding Company II, LLC ("Eagle II") is the sole member of Jaguar I; and Eagle Holding Company I is the sole member of Eagle II. By virtue of such relationships, each of the reporting persons may be deemed to have beneficial ownership over such securities. |
3. This report on Form 3 is jointly filed by the reporting persons. 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. |
PHARMACEUTICAL PRODUCT DEVELOPMENT, LLC By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: Chief Administrative Officer, General Counsel and Secretary | 07/25/2018 | |
WILDCAT ACQUISITION HOLDINGS (UK) LIMITED By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: Director | 07/25/2018 | |
JAGUAR HOLDING COMPANY II By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: General Counsel and Secretary | 07/25/2018 | |
JAGUAR HOLDING COMPANY I, LLC By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: General Counsel and Secretary | 07/25/2018 | |
EAGLE HOLDING COMPANY II, LLC By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: General Counsel and Secretary | 07/25/2018 | |
EAGLE HOLDING COMPANY I By: /s/ B. Judd Hartman, Name: B. Judd Hartman Title: General Counsel and Secretary | 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |