0001209191-18-044820.txt : 20180801
0001209191-18-044820.hdr.sgml : 20180801
20180801192604
ACCESSION NUMBER: 0001209191-18-044820
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: KERINS PATRICK J
CENTRAL INDEX KEY: 0001235112
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18986207
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-07-30
0
0001330436
Liquidia Technologies Inc
LQDA
0001235112
KERINS PATRICK J
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
0
0
1
0
Common Stock
2018-07-30
4
C
0
515547
A
526667
I
See Note 2
Common Stock
2018-07-30
4
C
0
432033
A
958700
I
See Note 2
Common Stock
2018-07-30
4
C
0
980715
A
1939415
I
See Note 2
Common Stock
2018-07-30
4
P
0
545455
11.00
A
2484870
I
See Note 2
Series B Preferred Stock
2018-07-30
4
C
0
3645307
D
Common Stock
515547
0
I
See Note 2
Series C Preferred Stock
2018-07-30
4
C
0
3337206
D
Common Stock
432033
0
I
See Note 2
Series D Preferred Stock
2018-07-30
4
C
0
16502833
D
Common Stock
980715
0
I
See Note 2
Warrant to purchase Series D Preferred Stock
0.01
2018-07-30
4
J
0
684911
D
2017-02-17
2026-12-31
Series D Preferred Stock
40702
0
I
See Note 2
Warrant to purchase Common Stock
0.01
2018-07-30
4
J
0
40702
A
2017-02-17
2026-12-31
Common Stock
40702
40702
I
See Note 2
The Series B preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.1414-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
The Reporting Person is a manager of NEA 12 GP, LLC, which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.
The Series C preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.1295-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
The Series D preferred stock had no expiration date and automatically converted into the Issuer's common stock on a 0.0594-for-1 basis immediately prior to the closing of the Issuer's initial public offering.
Immediately prior to the closing of the Issuer's initial public offering and without payment of further consideration, the Warrants to purchase Series D Preferred Stock automatically became exercisable to purchase the Issuer's common stock. The transaction is listed solely for the purpose of reporting the change of the title and amount of securities underlying the warrant.
/s/ Sasha Keough, attorney-in-fact
2018-08-01