0001213900-21-003298.txt : 20210120 0001213900-21-003298.hdr.sgml : 20210120 20210120203708 ACCESSION NUMBER: 0001213900-21-003298 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200925 FILED AS OF DATE: 20210120 DATE AS OF CHANGE: 20210120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mattes Glenn R. CENTRAL INDEX KEY: 0001568678 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 21540161 MAIL ADDRESS: STREET 1: 200 ROUTE 31 NORTH STREET 2: SUITE 104 CITY: FLEMINGTON STATE: NJ ZIP: 08822 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TFF Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001733413 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] 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 OWNERSHIP DOCUMENT X0306 4 2020-09-25 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001568678 Mattes Glenn R. 2600 VIA FORTUNA, SUITE 360 AUSTIN TX 78746 1 1 0 0 President and CEO Common Stock 2020-09-25 4 S 0 3000 17.00 D 7000 I By Spouse Common Stock 2021-01-15 4 M 0 40000 2.50 A 50000 D Common Stock 2021-01-15 4 S 0 40000 17.51 D 10000 D Stock Options (Right to Buy) 2.5 2021-01-15 4 M 0 40000 0.00 D 2019-05-01 2028-05-01 Common Stock 40000 1034227 D The transactions reported by this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2020. The transactions reported by this Form 4 reflect the Reporting Person's exercise of options to purchase common shares pursuant to Rule 16b-3 under the Securities Exchange Act of 1934 and the Reporting Person's concurrent sale of the common shares acquired upon the exercise of the options. 200,000 shares of the option vested and became exercisable on May 1, 2019. /s/ Glenn R. Mattes, by Kirk Allen Coleman, as Attorney-in-Fact 2021-01-20