0000899243-23-018209.txt : 20230817
0000899243-23-018209.hdr.sgml : 20230817
20230817172958
ACCESSION NUMBER: 0000899243-23-018209
CONFORMED SUBMISSION TYPE: 4
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39102
FILM NUMBER: 231183082
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39102
FILM NUMBER: 231183079
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39102
FILM NUMBER: 231183081
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39102
FILM NUMBER: 231183080
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0508
4
2023-08-15
1
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
0
Common Stock, par value $0.001 per share (the "Common Stock"
2023-08-15
4
S
0
215000
0.4374
D
5065000
I
See footnotes
Common Stock
2023-08-16
4
S
0
1000
0.3916
D
5064000
I
See footnotes
The transactions referenced herein provide for various per share prices ranging from $0.405886 to $0.46. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.
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 4 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.
The transactions referenced herein provide for various per share prices ranging from $0.38 to $0.436. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.
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
Clint D. Carlson, By: /s/ Clint D. Carlson
2023-08-17