0001213900-20-037060.txt : 20201113 0001213900-20-037060.hdr.sgml : 20201113 20201113210106 ACCESSION NUMBER: 0001213900-20-037060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201111 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THURMAN RANDY H CENTRAL INDEX KEY: 0001204059 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 201313359 MAIL ADDRESS: STREET 1: 222 MERCHANDISE MART PLAZA STREET 2: SUITE 2024 CITY: CHICAGO STATE: IL ZIP: 60654 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 2020-11-11 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001204059 THURMAN RANDY H 2600 VIA FORTUNA, SUITE 360 AUSTIN TX 78746 1 0 0 0 Common Stock 2020-11-11 4 M 0 34504 2.50 A 39504 D Common Stock 2020-11-11 4 S 0 34504 15.908 D 5000 D Common Stock 2020-11-13 4 S 0 5000 17.173 D 0 D Stock Options (Right to Buy) 2.50 2020-11-11 4 M 0 34504 0.00 D 2020-04-11 2029-04-11 Common Stock 34504 124925 D 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. 23,003 shares of common stock vested on April 11, 2020 and the remainder of shares scheduled to vest at an approximate rate of 5,750 every three months thereafter. /s/ Randy Thurman, by Kirk Allen Coleman, as Attorney-in-Fact 2020-11-13