Initial Statement of Beneficial Ownership (3)
February 15 2020 - 12:00AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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VELOCITY PHARMACEUTICAL HOLDINGS LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/12/2019
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3. Issuer Name and Ticker or Trading Symbol
Altimmune, Inc. [ALT]
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(Last)
(First)
(Middle)
400 OYSTER BLVD., SUITE 202 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1887250 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The shares are directly held by Velocity Pharmaceutical Holdings LLC ("VPH"). Velocity Pharma Management, LLC ("VPM") is the manager of VPH. David J. Collier and James F. Watson are the managing members of VPM, and as such may be deemed to hold shared voting and dispositive power over the shares held by VPH. Mr. Collier and Mr. Watson disclaim beneficial ownership of the shares held by VPH except to the extent of their pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
VELOCITY PHARMACEUTICAL HOLDINGS LLC 400 OYSTER BLVD. SUITE 202 SOUTH SAN FRANCISCO, CA 94080 |
| X |
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Collier David J C/O VELOCITY PHARMA MANAGEMENT, LLC 400 OYSTER BLVD.. SUITE 202 SOUTH SAN FRANCISCO, CA 94080 |
| X |
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Watson James F C/O VELOCITY PHARMA MANAGEMENT, LLC 400 OYSTER BLVD.. SUITE 202 SOUTH SAN FRANCISCO, CA 94080 |
| X |
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Velocity Pharma Management, LLC 400 OYSTER BLVD. SUITE 202 SOUTH SAN FRANCISCO, CA 94080 |
| X |
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Signatures
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By: /s/ David J. Collier, as a Reporting Owner and in his capacity as managing member of Velocity Pharma Management, LLC, the manager of Velocity Pharmaceutical Holdings LLC, and by power of attorney on behalf of James F. Watson | | 2/14/2020 |
**Signature of Reporting Person | Date |
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