0001104659-24-074471.txt : 20240624 0001104659-24-074471.hdr.sgml : 20240624 20240624213754 ACCESSION NUMBER: 0001104659-24-074471 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240620 FILED AS OF DATE: 20240624 DATE AS OF CHANGE: 20240624 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caligan Partners LP CENTRAL INDEX KEY: 0001727492 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 241066029 BUSINESS ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 718-570-6018 MAIL ADDRESS: STREET 1: 515 MADISON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSON DAVID EDWARD CENTRAL INDEX KEY: 0001785557 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39724 FILM NUMBER: 241066030 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Liquidia Corp CENTRAL INDEX KEY: 0001819576 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 tm2418154-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-06-20 0 0001819576 Liquidia Corp LQDA 0001785557 JOHNSON DAVID EDWARD 515 MADISON AVENUE 8TH FLOOR NEW YORK NY 10022 1 0 1 1 See Remarks 0001727492 Caligan Partners LP 515 MADISON AVENUE 8TH FLOOR NEW YORK NY 10022 1 0 1 1 See Remarks 0 Common Stock, $0.001 par value per share ("Common Stock") 2024-06-20 4 A 0 20359 0 A 20359 D Common Stock, $0.001 par value per share ("Common Stock") 11280945 I See footnote Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. The RSUs shall vest upon the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the Issuer's next annual shareholder meeting following the date of grant. Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account. Since the filing of the Form 4 filed by the Reporting Persons on September 7, 2022, and more than 6 months ago, the managed account to which Caligan serves as a consultant has reduced its holding by 480,000 shares of Common Stock, and accordingly, such shares of Common Stock are no longer included in the total amount of securities beneficially owned that are reported in Column 5. Securities held by (i) Caligan Partners Master Fund LP, a Cayman Islands limited partnership, (ii) an affiliated fund to which Caligan serves as investment manager, (iii) managed accounts to which Caligan serves as investment manager, and (iv) a managed account to which Caligan serves as a consultant. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Caligan may be deemed to be a director by deputization of the Issuer by virtue of the fact that Mr. Johnson currently serves on the Issuer's board of directors. David Edward Johnson 2024-06-24 Caligan Partners LP, By: /s/ David Johnson, Managing Partner 2024-06-24