0001104659-22-047871.txt : 20220420 0001104659-22-047871.hdr.sgml : 20220420 20220420163637 ACCESSION NUMBER: 0001104659-22-047871 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220420 DATE AS OF CHANGE: 20220420 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Manning Paul B CENTRAL INDEX KEY: 0001494695 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 22838572 MAIL ADDRESS: STREET 1: 200 GARRETT STREET SUITE S CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquidia Corp CENTRAL INDEX KEY: 0001819576 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] 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 tm2213052-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-03-31 0 0001819576 Liquidia Corp LQDA 0001494695 Manning Paul B 419 DAVIS DRIVE, SUITE 100 MORRISVILLE NC 27560 1 0 0 0 Common Stock 2022-03-31 4 A 0 435674 0 A 435674 I See footnote Common Stock 392156 D Common Stock 4460308 D Common Stock 198413 I See footnote Common Stock 479233 I See footnote On March 31, 2022, 435,674 shares of the Issuer's common stock which were previously subject to a holdback pursuant to the terms of the merger agreement for Issuer's acquisition of RareGen, LLC ("RareGen") were released to the Reporting Person. The merger agreement provided that certain shares of the Issuer's common stock issuable to members of RareGen at the closing of the transaction would be held back as partial security for the benefit of the Issuer with respect to any indemnifiable damages pursuant to the indemnification obligations of the members of RareGen. The shares would subsequently be released for no additional consideration, subject to the cancellation of shares of the Issuer's common stock in connection with any such indemnifiable damages. The securities are held by PBM Capital Finance, LLC ("PBM"). The Reporting Person is the manager and sole beneficial owner of PBM. The shares of are held by Reporting Person jointly with his spouse. The securities are held by PD Joint Holdings, LLC Series 2016-A ("PD"). The Reporting Person is a co-manager of Tiger Lily Capital, LLC ("Tiger Lily"), the manager of PD, and has shared voting and investment power with respect to the shares held by PD. The securities are held by BKB Growth Investments, LLC ("BKB"). The Reporting Person is a co-manager of Tiger Lily, the manager of BKB, and has shared voting and investment power with respect to the shares held by BKB. /s/ Paul B. Manning 2022-04-20