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