0001104659-22-047869.txt : 20220420
0001104659-22-047869.hdr.sgml : 20220420
20220420163534
ACCESSION NUMBER: 0001104659-22-047869
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220331
FILED AS OF DATE: 20220420
DATE AS OF CHANGE: 20220420
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JEFFS ROGER
CENTRAL INDEX KEY: 0001231615
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39724
FILM NUMBER: 22838551
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
tm2213052-2_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-03-31
0
0001819576
Liquidia Corp
LQDA
0001231615
JEFFS ROGER
419 DAVIS DRIVE, SUITE 100
MORRISVILLE
NC
27560
1
1
0
0
Chief Executive Officer
Common Stock
2022-03-31
4
A
0
154167
0
A
1541667
I
See footnote
Common Stock
111706
D
Common Stock
6095
I
See footnote
On March 31, 2022, 154,167 shares of the Issuer's common stock which were previously subject to a holdback pursuant to the terms of the merger agreement for Issuer's acquisition of RareGen, LLC ("RareGen") were released to the Reporting Person. The merger agreement provided that certain shares of the Issuer's common stock issuable to members of RareGen at the closing of the transaction would be held back as partial security for the benefit of the Issuer with respect to any indemnifiable damages pursuant to the indemnification obligations of the members of RareGen. The shares would subsequently be released for no additional consideration, subject to the cancellation of shares of the Issuer's common stock in connection with any such indemnifiable damages.
The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.
The securities are held by Roger A. Jeffs 2019 GRAT dtd 05/01/2019 (the "Trust"). The Reporting Person is the trustee of the Trust.
/s/ Roger Jeffs
2022-04-20