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