0001144204-18-041397.txt : 20180801
0001144204-18-041397.hdr.sgml : 20180801
20180801170040
ACCESSION NUMBER: 0001144204-18-041397
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180730
FILED AS OF DATE: 20180801
DATE AS OF CHANGE: 20180801
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PAPPAS CAPITAL, LLC
CENTRAL INDEX KEY: 0001320654
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985533
BUSINESS ADDRESS:
STREET 1: POST OFFICE BOX 110287
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
BUSINESS PHONE: (919) 998-3300
MAIL ADDRESS:
STREET 1: POST OFFICE BOX 110287
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
FORMER NAME:
FORMER CONFORMED NAME: A.M. Pappas & Associates, LLC
DATE OF NAME CHANGE: 20050315
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AMP&A Management IV, LLC
CENTRAL INDEX KEY: 0001463752
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985534
BUSINESS ADDRESS:
STREET 1: 2520 MERIDIAN PARKWAY, SUITE 400
CITY: DURHAM
STATE: NC
ZIP: 27713
BUSINESS PHONE: (919) 998-3300
MAIL ADDRESS:
STREET 1: 2520 MERIDIAN PARKWAY, SUITE 400
CITY: DURHAM
STATE: NC
ZIP: 27713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PV IV CEO Fund, L.P.
CENTRAL INDEX KEY: 0001573872
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985535
BUSINESS ADDRESS:
STREET 1: C/O PAPPAS VENTURES
STREET 2: PO BOX 110287
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 277709
BUSINESS PHONE: 919-998-3330
MAIL ADDRESS:
STREET 1: C/O PAPPAS VENTURES
STREET 2: PO BOX 110287
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 277709
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: A.M. Pappas Life Science Ventures IV LP
CENTRAL INDEX KEY: 0001451340
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985536
BUSINESS ADDRESS:
STREET 1: c/o Pappas Ventures
STREET 2: 2520 Meridian Parkway Ste 400
CITY: Durham
STATE: NC
ZIP: 27713
BUSINESS PHONE: 919-998-3300
MAIL ADDRESS:
STREET 1: c/o Pappas Ventures
STREET 2: 2520 Meridian Parkway Ste 400
CITY: Durham
STATE: NC
ZIP: 27713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PAPPAS ARTHUR M
CENTRAL INDEX KEY: 0001189543
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985537
MAIL ADDRESS:
STREET 1: 8995 WESTSIDE PARKWAY
CITY: ALPHARETTA
STATE: 2Q
ZIP: 30004
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Liquidia Technologies Inc
CENTRAL INDEX KEY: 0001330436
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 419 DAVIS DRIVE
STREET 2: SUITE 100
CITY: DURHAM
STATE: NC
ZIP: 27713
BUSINESS PHONE: 919-328-4400
MAIL ADDRESS:
STREET 1: P.O. BOX 110085
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
4
1
tv499681_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-07-30
1
0001330436
Liquidia Technologies Inc
LQDA
0001189543
PAPPAS ARTHUR M
P.O. BOX 110287
RESEARCH TRIANGLE PARK
NC
27709
0
0
1
0
0001451340
A.M. Pappas Life Science Ventures IV LP
P.O. BOX 110287
RESEARCH TRIANGLE PARK
NC
27709
0
0
1
0
0001573872
PV IV CEO Fund, L.P.
P.O. BOX 110287
RESEARCH TRIANGLE PARK
NC
27709
0
0
1
0
0001463752
AMP&A Management IV, LLC
P.O. BOX 110287
RESEARCH TRIANGLE PARK
NC
27709
0
0
1
0
0001320654
PAPPAS CAPITAL, LLC
P.O. BOX 110287
RESEARCH TRIANGLE PARK
NC
27709
0
0
1
0
Common Stock, par value $0.001 per share
2018-07-30
4
C
0
191788
A
191788
I
See footnotes
Common Stock, par value $0.001 per share
2018-07-30
4
C
0
97287
A
289075
I
See footnotes
Series C Preferred Stock, par value $0.001 per share
2018-07-30
4
C
0
1481553
0
D
Common Stock
191788
0
I
See footnotes
Series D Preferred Stock, par value $0.001 per share
2018-07-30
4
C
0
1637091
0
D
Common Stock
97287
0
I
See footnotes
The Series C Preferred Stock, par value $0.001 per share, converted into Common Stock, par value $0.001 per share, on approximately a 0.1295-for-1 basis and had no expiration date.
1,414,240 shares of Series C Preferred Stock, converted into 183,074 shares of Common Stock, are held of record by A.M. Pappas Life Science Ventures IV, L.P. ("Pappas Ventures"), and 67,313 shares of Series C Preferred Stock, converted into 8,714 shares of Common Stock, are held of record by PV IV CEO Fund, L.P. (the "CEO Fund" and, together with Pappas Ventures, the "Funds").
The Series D Preferred Stock, par value $0.001 per share, converted into Common Stock, par value $0.001 per share, on approximately a 0.0594-for-1 basis and had no expiration date.
1,562,712 shares of Series D Preferred Stock, converted into 92,867 shares of Common Stock, are held of record by Pappas Ventures, and 74,379 shares of Series D Preferred Stock, converted into 4,420 shares of Common Stock, are held by the CEO Fund.
AMP&A Management IV, LLC ("Management IV") is the general partner of each of the Funds and has a management agreement with Pappas Capital, LLC ("Pappas Capital") whereby Pappas Capital provides management services for the Funds. As a result, Pappas Capital's investment committee exercises sole dispositive and voting power over the securities owned by the Funds. Mr. Arthur Pappas is the sole managing member of Pappas Capital. By virtue of these relationships, Management IV, Pappas Capital and Mr. Pappas may be deemed to beneficially own the securities owned directly by the Funds. Each of Management IV, Pappas Capital and Mr. Pappas disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
/s/ Amanda Keister, attorney-in-fact for Arthur M. Pappas
2018-08-01
/s/ Amanda Keister, attorney-in-fact for A.M. Pappas Life Science Ventures IV, LP
2018-08-01
/s/ Amanda Keister, attorney-in-fact for PV IV CEO Fund, LP
2018-08-01
/s/ Amanda Keister, attorney-in-fact for AMP&A Management IV, LLC
2018-08-01
/s/ Amanda Keister, attorney-in-fact for Pappas Capital, LLC
2018-08-01