0001012975-17-000854.txt : 20171116 0001012975-17-000854.hdr.sgml : 20171116 20171116185806 ACCESSION NUMBER: 0001012975-17-000854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 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: 171209251 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 2017-11-14 0001326190 Altimmune, Inc. ALT 0001706034 Truffle Capital S.A.S. 5, RUE DE LA BAUME PARIS I0 75008 FRANCE 0 0 1 0 Common Stock, par value $0.0001 2017-11-14 4 J 0 12030 A 125145 I See Footnote Common Stock, par value $0.0001 2017-11-14 4 J 0 16039 A 66806 I See Footnote Common Stock, par value $0.0001 2017-11-14 4 J 0 12030 A 22418 I See Footnote Common Stock, par value $0.0001 416043 I See Footnote Common Stock, par value $0.0001 230103 I See Footnote Common Stock, par value $0.0001 183690 I See Footnote Common Stock, par value $0.0001 179359 I See Footnote Common Stock, par value $0.0001 151441 I See Footnote Common Stock, par value $0.0001 116654 I See Footnote Common Stock, par value $0.0001 105804 I See Footnote Common Stock, par value $0.0001 1774 I See Footnote Common Stock, par value $0.0001 1255 I See Footnote Series B Convertible Preferred Stock 2.67 2017-11-14 4 J 0 22.7661 D 2017-08-21 2018-08-15 Common Stock, par value $0.0001 8527 182.1279 I See Footnote Series B Convertible Preferred Stock 2.67 2017-11-14 4 J 0 30.3547 D 2017-08-21 2018-08-15 Common Stock, par value $0.0001 11369 242.8363 I See Footnote Series B Convertible Preferred Stock 2.67 2017-11-14 4 J 0 22.7661 D 2017-08-21 2018-08-15 Common Stock, par value $0.0001 8527 182.1279 I See Footnote Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of 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. Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI. Held directly by UFF Innovation 17 FCPI, a FCPI. Held directly by Truffle Cap II (TCII) FCPR, a FCPR (Fonds Commun de Placement a Risque), which is a French venture capital fund for institutional subscribers. Held directly by Truffle Fortune 6 FCPI, a FCPI. Held directly by UFF Innovation 16 FCPI, a FCPI. Held directly by Truffle Fortune 5 FCPI, a FCPI. Held directly by Truffle InnoCroissance 2015 FCPI, a FCPI. Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI. Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI. The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's 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. /s/ Ori Solomon, Attorney in fact for Truffle Capital S.A.S. 2017-11-16