0000902664-23-003669.txt : 20230621 0000902664-23-003669.hdr.sgml : 20230621 20230621172255 ACCESSION NUMBER: 0000902664-23-003669 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230619 FILED AS OF DATE: 20230621 DATE AS OF CHANGE: 20230621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caligan Partners LP CENTRAL INDEX KEY: 0001727492 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 231030889 BUSINESS ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 718-570-6018 MAIL ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSON DAVID EDWARD CENTRAL INDEX KEY: 0001785557 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 231030890 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquidia Corp CENTRAL INDEX KEY: 0001819576 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 851710962 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 419 DAVIS DRIVE, SUITE 100 CITY: MORRISVILLE STATE: NC ZIP: 27560 BUSINESS PHONE: 919.328.4400 MAIL ADDRESS: STREET 1: 419 DAVIS DRIVE, SUITE 100 CITY: MORRISVILLE STATE: NC ZIP: 27560 4 1 ownership.xml X0407 4 2023-06-19 0 0001819576 Liquidia Corp LQDA 0001785557 JOHNSON DAVID EDWARD 515 MADISON AVENUE 8TH FLOOR NEW YORK NY 10022 1 0 1 1 See Remarks 0001727492 Caligan Partners LP 515 MADISON AVENUE 8TH FLOOR NEW YORK NY 10022 1 0 1 1 See Remarks 0 Non-Qualified Stock Option (right to buy) 8.63 2023-06-19 4 A 0 20000 0 A 2026-06-19 2033-06-19 Common Stock 20000 20000 D The option vests in 36 equal monthly installments and will become fully vested on June 19, 2026. Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Caligan may be deemed to be a director by deputization of the Issuer by virtue of the fact that Mr. Johnson currently serves on the Issuer's board of directors. David Edward Johnson 2023-06-21 Caligan Partners LP, By: /s/ David Johnson, Managing Partner 2023-06-21