0001213900-21-016184.txt : 20210317 0001213900-21-016184.hdr.sgml : 20210317 20210317200025 ACCESSION NUMBER: 0001213900-21-016184 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCAMBOLI STEPHEN CENTRAL INDEX KEY: 0001221451 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 21752509 MAIL ADDRESS: STREET 1: C/OPARMOUNT CAPITAL STREET 2: 787 SEVENTH AVE 48TH FL CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TFF Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001733413 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 824344737 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 737-802-1973 MAIL ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2021-03-15 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001221451 ROCAMBOLI STEPHEN 2600 VIA FORTUNA, SUITE 360 AUSTIN TX 78746 1 0 0 0 Common Stock 2021-03-15 4 M 0 14756 2.50 A 30478 D Common Stock 2021-03-15 4 M 0 5250 5.00 A 35728 D Common Stock 2021-03-15 4 S 0 20006 16.85 D 15722 D Stock Options (Right to Buy) 2.50 2021-03-15 4 M 0 14756 0.00 D 2019-09-26 2028-09-26 Common Stock 14756 107673 D Stock Options (Right to Buy) 5.00 2021-03-15 4 M 0 5250 0.00 D 2020-10-29 2029-10-28 Common Stock 5250 102423 D The transactions reported by this Form 4 reflect the Reporting Person's exercise of options to purchase common shares pursuant to Rule 16b-3 under the Securities Exchange Act of 1934 and the Reporting Person's concurrent sale of the common shares acquired upon the exercise of the options. 23,003 shares of common stock vested on September 26, 2019 and the remainder of the shares vest at an approximate rate of 5,750 every three months thereafter 10,948 shares of common stock vested on October 29, 2020 and the remainder of the shares vest at an approximate rate of 2,737 every three months thereafter /s/ Stephen C. Rocamboli, by Kirk Allen Coleman, as Attorney-in-Fact 2021-03-17