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