0001104659-18-048801.txt : 20180801 0001104659-18-048801.hdr.sgml : 20180801 20180801171131 ACCESSION NUMBER: 0001104659-18-048801 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: AL WEALTH PARTNERS PTE. LTD. CENTRAL INDEX KEY: 0001747831 STATE OF INCORPORATION: U0 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38601 FILM NUMBER: 18985674 BUSINESS ADDRESS: STREET 1: UNIT #18-02A MILLENIA TOWER STREET 2: ONE TEMASEK AVENUE CITY: SINGAPORE STATE: U0 ZIP: 039192 BUSINESS PHONE: 6568919120 MAIL ADDRESS: STREET 1: UNIT #18-02A MILLENIA TOWER STREET 2: ONE TEMASEK AVENUE CITY: SINGAPORE STATE: U0 ZIP: 039192 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALWP CAPITAL SPC LTD CENTRAL INDEX KEY: 0001747832 STATE OF INCORPORATION: D8 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38601 FILM NUMBER: 18985675 BUSINESS ADDRESS: STREET 1: UNIT #18-02A MILLENIA TOWER STREET 2: ONE TEMASEK AVENUE CITY: SINGAPORE STATE: U0 ZIP: 039192 BUSINESS PHONE: 6568919120 MAIL ADDRESS: STREET 1: UNIT #18-02A MILLENIA TOWER STREET 2: ONE TEMASEK AVENUE CITY: SINGAPORE STATE: U0 ZIP: 039192 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 a4.xml 4 X0306 4 2018-07-30 1 0001330436 Liquidia Technologies Inc LQDA 0001747832 ALWP CAPITAL SPC LTD C/O AL WEALTH PARTNERS PTE LTD, #18-02A, ONE TEMASEK AVENUE SINGAPORE U0 039192 SINGAPORE 0 0 1 0 0001747831 AL WEALTH PARTNERS PTE. LTD. C/O AL WEALTH PARTNERS PTE LTD, #18-02A, ONE TEMASEK AVENUE SINGAPORE U0 039192 SINGAPORE 0 0 1 0 Common Stock 2018-07-30 4 C 0 151070 A 151070 I See Footnotes Series D Preferred Stock 2018-07-30 4 C 0 2542106 0 D Common Stock 151070 0 I See Footnotes The Series D Preferred Stock had no expiration date and automatically converted 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. These securities are held on record by ALWP Capital Growth Segregated Portfolio Fund and ALWP Diversified Segregated Portfolio Fund, each of which is a segregated portfolio fund under ALWP Capital SPC Ltd ("ACSPC"). AL Wealth Partners Pte. Ltd. is the investment manager of the Funds, and has been granted voting and dispositive power, through discretionary mandates and board resolutions with respect to the securities held by ACSPC. By virtue of such relationships, the reporting persons may be deemed to have beneficial ownership over such securities. This report on Form 4 is jointly filed by ALWP Capital SPC Ltd and AL Wealth Partners Pte. Ltd. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. /s/ Brian Tribuna, attorney-in-fact 2018-08-01