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