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