0001213900-19-021415.txt : 20191029 0001213900-19-021415.hdr.sgml : 20191029 20191029202654 ACCESSION NUMBER: 0001213900-19-021415 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191025 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fletcher Aaron G.L. CENTRAL INDEX KEY: 0001789490 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39102 FILM NUMBER: 191177113 MAIL ADDRESS: STREET 1: 1751 RIVER RUN STREET 2: SUITE 400 CITY: FT WORTH STATE: TX ZIP: 76107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TFF Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001733413 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 824344737 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 737-802-1973 MAIL ADDRESS: STREET 1: 2600 VIA FORTUNA, SUITE 360 CITY: AUSTIN STATE: TX ZIP: 78746 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2019-10-25 0 0001733413 TFF Pharmaceuticals, Inc. TFFP 0001789490 Fletcher Aaron G.L. 2600 VIA FORTUNA, SUITE 360 AUSTIN TX 78746 1 0 0 0 Common Stock 2019-10-25 4 P 0 2000 5.00 A 2000 D Common Stock 2019-10-29 4 C 0 43919 A 45919 D Warrants 5.00 2019-10-29 4 A 0 43794 0.00 A 2029-10-29 Common Stock 43794 179693 I By: BP Directors, LP Series A Preferred Stock 2019-10-29 4 C 0 43919 D Common Stock 43919 135806 D The shares of common stock purchased in the Issuer's initial public offering ("IPO"). The shares of Series A preferred stock automatically converted into the Issuer's common stock upon the completion of the Issuer's IPO at the conversion price of $2.50 per share. 25% of the warrants vest on the first anniversary of the grant and the remainder vest in equal quarterly installments over the next three years. Not Applicable. /s/ Aaron G.L. Fletcher, Ph.D., by Kirk Allen Coleman, as Attorney-in-Fact 2019-10-29