0001213900-24-035083.txt : 20240422
0001213900-24-035083.hdr.sgml : 20240422
20240422205203
ACCESSION NUMBER: 0001213900-24-035083
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: Lee Catherine Chai-zon
CENTRAL INDEX KEY: 0001541325
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39102
FILM NUMBER: 24862498
MAIL ADDRESS:
STREET 1: 4767 NEXUS CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
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
0001541325
Lee Catherine Chai-zon
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
1
0
0
0
0
Restricted stock units
2024-04-18
4
A
0
3556
0
A
Common stock
3556
3556
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/ Catherine C. Lee
2024-04-22