0001012975-17-000652.txt : 20170823 0001012975-17-000652.hdr.sgml : 20170823 20170823162337 ACCESSION NUMBER: 0001012975-17-000652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170821 FILED AS OF DATE: 20170823 DATE AS OF CHANGE: 20170823 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Truffle Capital S.A.S. CENTRAL INDEX KEY: 0001706034 STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 171047340 BUSINESS ADDRESS: STREET 1: 5 RUE DE LA BAUME CITY: PARIS STATE: I0 ZIP: 75008 BUSINESS PHONE: (240) 654-1450 MAIL ADDRESS: STREET 1: 19 FIRSTFIELD ROAD STREET 2: SUITE 200 CITY: GAITHERSBURG STATE: MD ZIP: 20878 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Altimmune, Inc. CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 19 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 2406541450 MAIL ADDRESS: STREET 1: 19 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 FORMER COMPANY: FORMER CONFORMED NAME: PHARMATHENE, INC DATE OF NAME CHANGE: 20071016 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-08-21 0001326190 Altimmune, Inc. ALT 0001706034 Truffle Capital S.A.S. 5, RUE DE LA BAUME PARIS I0 75008 FRANCE 0 0 1 0 Series B Convertible Preferred Stock 2.67 2017-08-21 4 P 0 204.894 940.00 A 2017-08-21 2018-08-15 Common Stock, par value $0.0001 76740 204.894 I See Footnote Series B Convertible Preferred Stock 2.67 2017-08-21 4 P 0 273.191 940.00 A 2017-08-21 2018-08-15 Common Stock, par value $0.0001 102318 273.191 I See Footnote Series B Convertible Preferred Stock 2.67 2017-08-21 4 P 0 204.894 940.00 A 2017-08-21 2018-08-15 Common Stock, par value $0.0001 76740 204.894 I See Footnote Warrant 2.67 2017-08-21 4 P 0 30696 A 2017-08-21 2022-08-15 Common Stock, par value $0.0001 30696 30696 I See Footnote Warrant 2.67 2017-08-21 4 P 0 40927 A 2017-08-21 2022-08-15 Common Stock, par value $0.0001 40927 40927 I See Footnote Warrant 2.67 2017-08-21 4 P 0 30696 A 2017-08-21 2022-08-15 Common Stock, par value $0.0001 30696 30696 I See Footnote The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's Common Stock. Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein. Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund. Held directly by UFF Innovation 15 FCPI, a FCPI. Held directly by Truffle Fortune 4 FCPI, a FCPI. Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval. /s/ Ori Solomon, Attorney in fact for Truffle Capital S.A.S. 2017-08-23