SC 13G/A: Liquidia Corp

AI Summary

SC 13G/A filing by Liquidia Corp.

Risk Assessment

Risk Level: low

Key Financial Figures

• $0.0001 — ation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class o

Filing Documents

• tm245987d1_sc13ga.htm (SC 13G/A) — 66KB
• 0001104659-24-023700.txt ( ) — 68KB

From the Filing

SC 13G/A 1 tm245987d1_sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No. 3)* Liquidia Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 53635D202 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: Rule 13d-1(b) Rule 13d-1(c) Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise CUSIP No. 53635D202 13G Page 2 of 7 Pages 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Paul B. Manning 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 5,651,075 1 6 SHARED VOTING POWER 677,646 2 7 SOLE DISPOSITIVE POWER 5,651,075 1 8 SHARED DISPOSITIVE POWER 677,646 2 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,328,721 3 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.2% 4 12 TYPE OF REPORTING PERSON* IN 1 Consists of: (i) 279,330 shares of the Issuer’s common stock held by Mr. Manning, (ii) 4,852,464 shares of the Issuer’s common stock held by Paul and Diane Manning, JTWROS, (iii) 435,674 shares of the Issuer’s common stock held by PBM Capital Finance, LLC and (iv) 83,607 shares of common stock issuable upon the exercise of stock options within 60 days of December 31, 2023. 2 Consists of: (i) 198,413 shares of the Issuer’s common stock held by PD Joint Holdings, LLC Series 2016-A and (ii) 479,233 shares of the Issuer’s common stock held by BKB Growth Investments, LLC. 3 Consists of: (i) 279,330 shares of the Issuer’s common stock held by Mr. Manning, (ii) 4,852,464 shares of the Issuer’s common stock held by Paul and Diane Manning, JTWROS; (iii) 198,413 shares of the Issuer’s common stock held by PD Joint Holdings, LLC Series 2016-A; (iv) 479,233 shares of the Issuer’s common stock held by BKB Growth Investments, LLC; (v) 435,674 shares of the Issuer's common stock held by PBM Capital Finance, LLC and (vi) 83,607 shares of common stock issuable upon the exercise of stock options within 60 days of December 31, 2023. 4 This percentage is calculated based upon 68,390,915 outstanding shares of Common Stock of the Issuer as of December 14, 2023, as reported in the Issuer’s Prospectus Supplement dated December 12, 2023 with respect to a public offering of the Issuer’s securities filed with the Securities and Exchange Commission on December 12, 2023. CUSIP No. 53635D202 13G Page 3 of 7 Pages 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PD Joint Holdings, LLC, Series 2016-A 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 198,413 6 SHARED VOTING POWER 0 7 SOLE DISPOSITIVE POWER 198,413 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 198,413 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% 5 12 TYPE OF REPORTING PERSON* OO 5 This percentage is calculated based upon 68,390,915 outstanding shares of Common Stock of the Issuer as of December 14, 2023, as reported in the Issuer’s Prospectus Supplement dated December 12, 2023 with respect to a public offering of the Issuer’s securities filed with the Securities and Exchange Commission on December 12, 2023. CUSIP No. 53635D202 13G Page 4 of 7 Pages 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) BKB Growth Investments, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY