0001104659-18-048812.txt : 20180801
0001104659-18-048812.hdr.sgml : 20180801
20180801171445
ACCESSION NUMBER: 0001104659-18-048812
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: Sovereign's Capital II, LP
CENTRAL INDEX KEY: 0001642649
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38601
FILM NUMBER: 18985747
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
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
0001642649
Sovereign's Capital II, LP
111 EAST HARGETT STREET
SUITE 300
RALEIGH
NC
27601
0
0
1
0
Common stock
2018-07-30
4
C
0
78660
A
78660
D
Series D Preferred Stock
2018-07-30
4
C
0
1323642
0
D
Common Stock
78660
0
D
Warrant to purchase Series D Preferred Stock
0.01
2018-07-30
4
J
0
156751
D
2017-02-17
2026-12-31
Series D Preferred Stock
156751
0
D
Warrant to purchase Common Stock
0.01
2018-07-30
4
J
0
9315
A
2017-02-17
2026-12-31
Common Stock
9315
9315
D
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.
Immediately prior to the closing of the Issuer's initial public offering and without payment of further consideration, the Warrants to purchase Series D Preferred Stock automatically became exercisable to purchase the Issuer's common stock. The transaction is listed solely for the purpose of reporting the change of the title and amount of securities underlying the warrant.
/s/ Lukas Roush, Managing Principal
2018-08-01