0001213900-22-074720.txt : 20221123 0001213900-22-074720.hdr.sgml : 20221123 20221123075910 ACCESSION NUMBER: 0001213900-22-074720 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221122 FILED AS OF DATE: 20221123 DATE AS OF CHANGE: 20221123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fletcher Aaron G.L. CENTRAL INDEX KEY: 0001789490 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 221412288 MAIL ADDRESS: STREET 1: 40 GUEST STREET CITY: BOSTON STATE: MA ZIP: 02135 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 X0306 4 2022-11-22 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001789490 Fletcher Aaron G.L. 1751 RIVER RUN, SUITE 400 FORT WORTH TX 76107 1 0 0 0 Common Stock 109600 I See footnote Common Stock 542000 I See footnote Common Stock 2022-11-22 4 P 0 43470 1.15 A 143470 D Common Stock Purchase Warrants 1.29 2022-11-22 4 P 0 21735 0 A 2022-11-22 2027-11-22 Common Stock 21735 21735 D The reported shares were purchased, and are owned, directly by Bios Special Opportunity Fund II, LP. Aaron Fletcher is the manager of Bios Advisors GP, LLC, the general partner of Bios Capital Management, L.P., the general partner of Bios Equity SOF I, LP, the general partner of Bios Special Opportunity Fund II, LP. Dr. Fletcher disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Dr. Fletcher is the beneficial owner of any securities covered by this Form 4. The reported shares were purchased, and are owned, directly by Bios Special Opportunity Fund, LP. Aaron Fletcher is the manager of Bios Advisors GP, LLC, the general partner of Bios Capital Management, L.P., the general partner of Bios Equity SOF I, LP, the general partner of Bios Special Opportunity Fund, LP. Dr. Fletcher disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Dr. Fletcher is the beneficial owner of any securities covered by this Form 4. The reported shares were purchased in a private transaction from TFF Pharmaceuticals, Inc. at a price of $1.15. /s/ Aaron G.L. Fletcher, by Kirk Allen Coleman, as Attorney-in-Fact 2022-11-22