WAKEFIELD GROUP IV, LLC

PrivateCIK: 1747844

Location

CHARLOTTE, NC

WAKEFIELD GROUP IV, LLC reported 3 transactions at LIQUIDIA TECHNOLOGIES INC

Review the transaction codes below to understand the nature of each event.

WAKEFIELD GROUP IV, LLC

Filed: 8/1/2018ACC: 0001104659-18-048816

InsiderWAKEFIELD GROUP IV, LLCCIK 1747844

→

IssuerLIQUIDIA TECHNOLOGIES INCCIK 1330436

10% Owner

Since Jul 2018

-2.17M

Net shares

Net seller

$0.00

Total acquired

0

Open market trades

0B · 0S

8

Total transactions

252.41K acquired · 2.42M disposed

Non-Derivative Transactions3

Common stock

Direct

C · Conversion

Shares

+131.50K

Price / share

—

Trade value

—

% of position

2642.1%

7/30/2018

4.98K→136.47K

Common stock

Direct

C · Conversion

Shares

+58.03K

Price / share

—

Trade value

—

% of position

42.5%

7/30/2018

136.47K→194.50K

Common stock

Direct

C · Conversion

Shares

+53.57K

Price / share

—

Trade value

—

% of position

27.5%

7/30/2018

194.50K→248.07K

Total

Net shares

+243.10K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common stock Direct	7/30/2018	C · Conversion	+131.50K	—	—	2642.1%	4.98K	136.47K
Common stock Direct	7/30/2018	C · Conversion	+58.03K	—	—	42.5%	136.47K	194.50K
Common stock Direct	7/30/2018	C · Conversion	+53.57K	—	—	27.5%	194.50K	248.07K
Total			+243.10K		$0.00

Derivative Transactions5

Series A-1 Preferred Stock

Direct

C · Conversion

Converts to

Common Stock

131.50K shares

Shares

−954.24K

Strike price

Held after

0.00

Exercisable

—

7/30/2018

Series B Preferred Stock

Direct

C · Conversion

Converts to

Common Stock

58.03K shares

Shares

−410.33K

Strike price

Held after

0.00

Exercisable

—

7/30/2018

Series D Preferred Stock

Direct

C · Conversion

Converts to

Common Stock

53.57K shares

Shares

−901.42K

Strike price

Held after

0.00

Exercisable

—

7/30/2018

Warrant to purchase Series D Preferred Stock

Direct

J · J

Converts to

Series D Preferred Stock

156.75K shares

Shares

−156.75K

Strike price

0.01

Held after

0.00

Exercisable

—

7/30/2018

Warrant to purchase Common Stock

Direct

J · J

Converts to

Common Stock

9.31K shares

Shares

+9.31K

Strike price

0.01

Held after

9.31K

Exercisable

—

7/30/2018

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Series A-1 Preferred Stock Direct	Common Stock131.50K shares	7/30/2018	C · Conversion	−954.24K		—	0.00
Series B Preferred Stock Direct	Common Stock58.03K shares	7/30/2018	C · Conversion	−410.33K		—	0.00
Series D Preferred Stock Direct	Common Stock53.57K shares	7/30/2018	C · Conversion	−901.42K		—	0.00
Warrant to purchase Series D Preferred Stock Direct	Series D Preferred Stock156.75K shares	7/30/2018	J · J	−156.75K	0.01	—	0.00
Warrant to purchase Common Stock Direct	Common Stock9.31K shares	7/30/2018	J · J	+9.31K	0.01	—	9.31K

WAKEFIELD GROUP IV, LLC — Insider Transaction (Form 4) Filed Aug 1, 2018 | Finecho