LQDA

SEC source: 0001104659-20-127452 · a4.xml · derivative · entry 1

Moomaw Scott · CIK 0001832592 · SVP, Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-11-19

F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter, becoming fully vested on November 19, 2024.

SEC source: 0001104659-20-128078 · a4.xml · derivative · entry 3

Fowler Neal Franklin · CIK 0001493692 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 62,885 shares

Expires 2020-11-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 25% of the shares underlying the option vested on May 12, 2011, and 2.084% of the shares underlying the option vested monthly thereafter, becoming fully vested on November 23, 2014.

SEC source: 0001104659-20-128078 · a4.xml · nonDerivative · entry 2

Fowler Neal Franklin · CIK 0001493692 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,512

SEC source: 0001104659-20-128078 · a4.xml · nonDerivative · entry 1

Fowler Neal Franklin · CIK 0001493692 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,196

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001578563-20-000034 · primary_doc.xml · nonDerivative · entry 1

Eshelman Ventures, LLC · CIK 0001706673 · 10% owner

ESHELMAN FREDRIC N · CIK 0001033409 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,004,744

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.28 to $3.42. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected.

F2 · ownership.direct: The securities reported as directly beneficially owned by the Reporting Person may be deemed to be indirectly beneficially owned by the Dr. Eshelman, who is the manager of the Reporting Person.

SEC source: 0001104659-20-127348 · a4.xml · derivative · entry 1

Manning Paul B · CIK 0001494695 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-11-18

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments, becoming fully vested on November 18, 2023.

SEC source: 0001104659-20-127349 · a4.xml · derivative · entry 4

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-11-18

F3 · derivative.exercise_date: The option vests in 36 equal monthly installments, becoming fully vested on November 18, 2023.

SEC source: 0001104659-20-127349 · a4.xml · nonDerivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,387,500

F1 · kind: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

F1 · price: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

F1 · ownership.nature: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.