0001213900-24-035081.txt : 20240422 0001213900-24-035081.hdr.sgml : 20240422 20240422205016 ACCESSION NUMBER: 0001213900-24-035081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240418 FILED AS OF DATE: 20240422 DATE AS OF CHANGE: 20240422 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roberts Brandi CENTRAL INDEX KEY: 0001516354 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 24862496 MAIL ADDRESS: STREET 1: 12390 EL CAMINO REAL #150 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TFF Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001733413 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 824344737 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 737-802-1973 MAIL ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 4 1 ownership.xml X0508 4 2024-04-18 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001516354 Roberts Brandi 1751 RIVER RUN, SUITE 400 FORT WORTH TX 76107 1 0 0 0 0 Restricted stock units 2024-04-18 4 A 0 5333 0 A Common stock 5333 5333 D Each restricted stock unit, or RSU, represents a contingent right to receive one share of the Issuer's common stock. The RSUs were awarded to the Reporting Person in lieu of their quarterly cash director fee for the first quarter of 2024. The settlement of the RSUs is contingent on stockholder approval, at the Issuer's 2024 annual meeting of stockholders, or Annual Meeting, of an amendment to increase the share reserve under the Issuer's 2021 Stock Incentive Plan, or 2021 Plan. The RSUs shall terminate if the Issuer's stockholders do not approve the proposed amendment to the 2021 Plan at the Annual Meeting. Subject to stockholder approval of the amendment to the 2021 Plan, and subject further to the consummation of the Issuer's next equity financing, the RSUs will settle in four equal installments, with the first installment settling on completion of the Issuer's next equity financing and the other three installments settling on the 15th, 30th and 45th day following the completion of the next equity financing. /s/ Brandi Roberts 2024-04-22