0001104659-23-126934.txt : 20231218 0001104659-23-126934.hdr.sgml : 20231218 20231218170201 ACCESSION NUMBER: 0001104659-23-126934 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JEFFS ROGER CENTRAL INDEX KEY: 0001231615 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 231494567 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquidia Corp CENTRAL INDEX KEY: 0001819576 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 tm2332275-8_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-14 0 0001819576 Liquidia Corp LQDA 0001231615 JEFFS ROGER 419 DAVIS DRIVE, SUITE 100 MORRISVILLE NC 27560 1 1 0 0 Chief Executive Officer 0 Common Stock 2023-12-14 4 P 0 139665 7.16 A 640805 D Common Stock 46595 I See footnote Common Stock 1541667 I See footnote Represents shares of Issuer common stock purchased by the Reporting Person pursuant to that certain Common Stock Purchase Agreement, dated as of December 14, 2023, by and among the Issuer and the Reporting Person. Includes 5,384 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust. 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. /s/ Roger Jeffs 2023-12-18