0000903423-18-000416.txt : 20180801
0000903423-18-000416.hdr.sgml : 20180801
20180801183230
ACCESSION NUMBER: 0000903423-18-000416
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180730
FILED AS OF DATE: 20180801
DATE AS OF CHANGE: 20180801
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC
CENTRAL INDEX KEY: 0001131399
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: X0
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18986073
BUSINESS ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
BUSINESS PHONE: 011442080475000
MAIL ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Liquidia Technologies Inc
CENTRAL INDEX KEY: 0001330436
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 419 DAVIS DRIVE
STREET 2: SUITE 100
CITY: DURHAM
STATE: NC
ZIP: 27713
BUSINESS PHONE: 919-328-4400
MAIL ADDRESS:
STREET 1: P.O. BOX 110085
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
4
1
translate.xml
OWNERSHIP DOCUMENT
X0306
4
2018-07-30
0
0001330436
Liquidia Technologies Inc
LQDA
0001131399
GLAXOSMITHKLINE PLC
980 GREAT WEST ROAD
BRENTFORD MIDDLESEX
X0
TW8 9GS
UNITED KINGDOM
0
0
0
1
Former 10% holder
Common Stock
2018-07-30
4
C
0
336541
A
475604
I
See explanation of responses
Common Stock
2018-07-30
4
C
0
118570
A
475604
I
See explanation of responses
Common Stock
2018-07-30
4
P
0
148818
11
A
624422
I
See explanation of responses
Series C-1 Preferred Stock
2018-07-30
4
C
0
4765248
0
D
Common Stock
118570
0
I
See explanation of responses
Series D Preferred Stock
2018-07-30
4
C
0
344853
0
D
Common Stock
336541
0
I
See explanation of responses
On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering.
Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder.
The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date
The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date.
The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
/s/ Victoria Whyte
2018-07-30