0001104659-23-098427.txt : 20230905
0001104659-23-098427.hdr.sgml : 20230905
20230905201154
ACCESSION NUMBER: 0001104659-23-098427
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230831
FILED AS OF DATE: 20230905
DATE AS OF CHANGE: 20230905
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lippe Robert A
CENTRAL INDEX KEY: 0001600757
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39724
FILM NUMBER: 231237543
MAIL ADDRESS:
STREET 1: C/O ALEXZA PHARMACEUTICALS, INC.
STREET 2: 2091 STIERLIN COURT
CITY: MOUNTAIN VIEW
STATE: CA
ZIP: 94043
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
tm2325564-5_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-08-31
0
0001819576
Liquidia Corp
LQDA
0001600757
Lippe Robert A
419 DAVIS DRIVE, SUITE 100
MORRISVILLE
NC
27560
0
1
0
0
Chief Operations Officer
1
Common Stock
2023-08-31
4
M
0
1719
A
193072
D
Common Stock
2023-08-31
4
S
0
505
6.88
D
192567
D
Restricted Stock Unit
2023-08-31
4
M
0
1719
0
D
Common Stock
1719
107880
D
Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
On January 16, 2022, the Reporting Person was granted 27,500 RSUs with 25% vesting on February 28, 2023, with the remaining RSUs vesting ratably on a quarterly basis over three years thereafter. Of those RSUs, a total of 10,313 have vested through August 31, 2023.
Includes (i) 83,333 RSUs granted to the Reporting Person on January 11, 2023, none of which have vested as of the date of this Form 4, (ii) 10,833 RSUs granted to the Reporting Person on March 18, 2020, 8,802 of which have vested as of the date of this Form 4, and (iii) 1,707 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan on August 31, 2023.
These shares were sold to cover taxes associated with the settlement of RSUs.
Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on June 2, 2022.
/s/ Robert A. Lippe
2023-09-05