Key facts
- This page summarizes Carlson Capital, L.P.'s Form 4 filing for TFF Pharmaceuticals, Inc..
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 17 Aug 2023, 17:29.
Carlson Capital, L.P. - 15 Aug 2023 Form 4 Insider Report for TFF Pharmaceuticals, Inc.
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- N/A
- Reported as of
- 15 Aug 2023
- Net transaction value
- -$94,433
- SEC form
- 4
- Accepted by SEC
- 17 Aug 2023, 17:29:58 UTC
- Prior SEC filing
- 31 Mar 2023
- Next SEC filing
- 07 Sep 2023
- Source filing
- View source filing
- Reporting owner signature
- Carlson Capital, L.P., By: /s/ Clint D. Carlson, Title: President
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Carlson Capital, L.P. filed Form 4 for TFF Pharmaceuticals, Inc. on 17 Aug 2023.
Change
- Previous filing in this sequence was filed on 31 Mar 2023.
- Current net transaction value: -$94,433.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
TFFP
transaction
Common Stock, par value $0.001 per share (the "Common Stock"
Sale
- Transaction value
- $94,041
- Shares
- -215,000
- Change %
- -4.1%
- Price
- $0.4374
- Shares after
- 5,065,000
- Date
- 15 Aug 2023
- Ownership
- See footnotes
- Footnotes
- F1, F2, F3
TFFP
transaction
Common Stock
Sale
- Transaction value
- $392
- Shares
- -1,000
- Change %
- -0.02%
- Price
- $0.3916
- Shares after
- 5,064,000
- Date
- 16 Aug 2023
- Ownership
- See footnotes
- Footnotes
- F2, F3, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Carlson Capital, L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 4 footnotes
Footnote F1
The transactions referenced herein provide for various per share prices ranging from $0.405886 to $0.46. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.
Footnote F2
The shares of Common Stock to which this relates are held directly by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company (the "Fund").
Footnote F3
Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Fund. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.
Footnote F4
The transactions referenced herein provide for various per share prices ranging from $0.38 to $0.436. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.