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