0000899243-23-018208.txt : 20230817 0000899243-23-018208.hdr.sgml : 20230817 20230817172736 ACCESSION NUMBER: 0000899243-23-018208 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230815 FILED AS OF DATE: 20230817 DATE AS OF CHANGE: 20230817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARLSON CAPITAL L P CENTRAL INDEX KEY: 0001056973 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 231183046 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1900 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2149329600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1900 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlson Clint Duane CENTRAL INDEX KEY: 0001404625 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 231183043 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Double Black Diamond Offshore Ltd CENTRAL INDEX KEY: 0001404976 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 231183045 BUSINESS ADDRESS: STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY STREET 2: P.O. BOX 31106 CITY: CAMANA BAY STATE: E9 ZIP: KY-1205 BUSINESS PHONE: 214.932.9600 MAIL ADDRESS: STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY STREET 2: P.O. BOX 31106 CITY: CAMANA BAY STATE: E9 ZIP: KY-1205 FORMER NAME: FORMER CONFORMED NAME: Double Black Diamond Offshore Ltd. DATE OF NAME CHANGE: 20090610 FORMER NAME: FORMER CONFORMED NAME: Double Black Diamond Offshore LDC DATE OF NAME CHANGE: 20070628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Asgard Investment Corp. II CENTRAL INDEX KEY: 0001503915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 231183044 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-932-9600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2023-08-15 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001056973 CARLSON CAPITAL L P 2100 MCKINNEY AVE STE 1900 DALLAS TX 75201 0 0 1 0 0001404976 Double Black Diamond Offshore Ltd 2100 MCKINNEY AVENUE STE 1900 DALLAS TX 75201 0 0 1 0 0001503915 Asgard Investment Corp. II 2100 MCKINNEY AVENUE STE 1900 DALLAS TX 75201 0 0 1 0 0001404625 Carlson Clint Duane 2100 MCKINNEY AVENUE STE 1900 DALLAS TX 75201 0 0 1 0 Common Stock, par value $0.001 per share (the "Common Stock" 5280000 I See footnotes Warrants (right to buy) 1.29 2027-11-22 Common Stock 600000 I See footnotes The shares of Common Stock to which this relates are held directly by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company (the "Fund"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Fund. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 3 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Represents warrants to purchase Common Stock, which are currently exercisable. Exhibit 24 (each incorporated by reference to Exhibit 24 to the Form 3 filed by the Reporting Persons on October 21, 2022) Power of Attorney for Carlson Capital, L.P. Power of Attorney for Double Black Diamond Offshore Ltd. Power of Attorney for Asgard Investment Corp. II Power of Attorney for Clint D. Carlson Carlson Capital, L.P., By: /s/ Clint D. Carlson, Title: President 2023-08-17 Double Black Diamond Offshore Ltd., By its general partner Asgard II, By: /s/ Clint D. Carlson, Title: President 2023-08-17 Asgard Investment Corp. II, By: /s/ Clint D. Carlson, Title: President 2023-08-17 By: /s/ Clint D. Carlson 2023-08-17