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