0001104659-24-047885.txt : 20240416 0001104659-24-047885.hdr.sgml : 20240416 20240416171534 ACCESSION NUMBER: 0001104659-24-047885 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240412 FILED AS OF DATE: 20240416 DATE AS OF CHANGE: 20240416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JEFFS ROGER CENTRAL INDEX KEY: 0001231615 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 24848671 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquidia Corp CENTRAL INDEX KEY: 0001819576 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 851710962 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 419 DAVIS DRIVE, SUITE 100 CITY: MORRISVILLE STATE: NC ZIP: 27560 BUSINESS PHONE: 919.328.4400 MAIL ADDRESS: STREET 1: 419 DAVIS DRIVE, SUITE 100 CITY: MORRISVILLE STATE: NC ZIP: 27560 4 1 tm2411915-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-04-12 0 0001819576 Liquidia Corp LQDA 0001231615 JEFFS ROGER 419 DAVIS DRIVE, SUITE 100 MORRISVILLE NC 27560 1 1 0 0 Chief Executive Officer 1 Common Stock 2024-04-12 4 S 0 8360 14.58 D 826985 D Common Stock 46595 I See footnote Common Stock 1541667 I See footnote Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs") that were initially granted to the Reporting Person on January 11, 2023. Includes (i) 199,031 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 221,338 unvested RSUs granted to the Reporting Person on January 11, 2024, none of which have vested as of the date of this Form 4, and (iii) 7,169 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust. The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity. /s/ Roger Jeffs 2024-04-16