0001104659-18-047113.txt : 20180725 0001104659-18-047113.hdr.sgml : 20180725 20180725210853 ACCESSION NUMBER: 0001104659-18-047113 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180725 FILED AS OF DATE: 20180725 DATE AS OF CHANGE: 20180725 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sovereign's Capital II, LP CENTRAL INDEX KEY: 0001642649 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38601 FILM NUMBER: 18969903 BUSINESS ADDRESS: STREET 1: 201 WEST MAIN STREET, SUITE 305 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 9196479225 MAIL ADDRESS: STREET 1: 201 WEST MAIN STREET, SUITE 305 CITY: DURHAM STATE: NC ZIP: 27701 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 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 3 1 a3.xml 3 X0206 3 2018-07-25 0 0001330436 Liquidia Technologies Inc LQDA 0001642649 Sovereign's Capital II, LP 111 EAST HARGETT STREET SUITE 300 RALEIGH NC 27601 0 0 1 0 Warrant to purchase Series D Preferred Stock 0.01 2017-02-17 2026-12-31 Series D Preferred Stock 9315 D Series D Preferred Stock Common Stock 78660 D All shares of Series D Preferred Stock, par value $0.001 per share (the "Series D Preferred Stock"), have no expiration date and will automatically convert into the Issuer's common stock on approximately a 0.0594-for-1 basis immediately prior to the closing of the Issuer's initial public offering. Following the automatic conversion of the Series D Preferred Stock, the Warrant to purchase Series D Preferred Stock will be exercisable into 9,315 shares of the Issuer's common stock at an exercise price of $0.01 per share. /s/ Lukas Roush, Managing Principal 2018-07-25