Source: http://ir.altimmune.com/node/12481/html
Timestamp: 2020-02-25 02:36:47
Document Index: 9625210

Matched Legal Cases: ['§240', '§240', '§ 240', '§240', '§240', '§240']

☐ Rule 13d-l(c)
☒ Rule 13d-l(d)
Velocity Pharmaceutical Holdings LLC
1,887,250
(1) Based on 15,338,072 shares of common stock of the Issuer outstanding as of November 12, 2019, as reported in the Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 13, 2019.
Velocity Pharma Management, LLC
910 Clopper Road, Suite 201S, Gaithersburg, Maryland 20878
This Schedule 13G is being filed on behalf of (i) Velocity Pharmaceutical Holdings LLC, a Delaware limited liability company (“VPH”), (ii) Velocity Pharma Management, LLC, a Delaware limited liability company (“VPM”), (iii) David J. Collier, an individual who is a citizen of the United States of America (“Mr. Collier”) and (iv) James Watson, an individual who is a citizen of the United States of America (“Mr. Watson”, and together with VPH, VPM and Mr. Collier, collectively the “Reporting Persons”).
The Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13G as Exhibit 1, pursuant to which the Reporting Persons have agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 12d-1(k) of the Securities Exchange Act of 1934, as amended.
The principal business address of each of the Reporting Persons is 400 Oyster Blvd., Suite 202, South San Francisco, California 94080.
(d) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
(e) An investment adviser in accordance with §240.13d-l(b)(l)(ii)(E);
(f) An employee benefit plan or endowment fund in accordance with §240.13d-l(b)(l)(ii)(F);
(g) A parent holding company or control person in accordance with § 240.13d-l(b)(l)(ii)(G);
(j) A non-U.S. institution in accordance with §240.13d-l(b)(l)(ii)(J).
(k) Group, in accordance with §240.13d-l(b)(l)(ii)(K).
If filing as a non-U.S. institution in accordance with §240.13d-l(b)(l)(ii)(J), please specify the type of institution: Not Applicable
The following information with respect to the ownership of the Common Stock of the Issuer by the Reporting Persons is provided as of December 31, 2019:
VPH is the record holder of 1,887,250 shares of the Common Stock of the Issuer (the “Shares”). VPM, as the manager of VPH, and Mr. Collier and Mr. Watson, each a managing member of VPM, may be deemed to have beneficial ownership of the Shares held by VPH.
Amount beneficially owned: See Row 9 of each cover page.
Percent of class: See Row 11 of each cover page.
Sole power to vote or to direct the vote See Row 5 of each cover page.
Shared power to vote or to direct the vote See Row 6 of each cover page.
Sole power to dispose or to direct the disposition of See Row 7 of each cover page.
Shared power to dispose or to direct the disposition of See Row 8 of each cover page.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following □.
By: /s/ David J. Collier
Name: David J. Collier
Title: Managing Member of Velocity Pharma Management, LLC, Manager
David J. Collier, by power of attorney
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained herein and therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate. This joint filing agreement may be executed in any number of counterparts and all of such counterparts taken together shall constitute one and the same instrument.
Know all by these presents that the undersigned hereby constitutes and appoints David J. Collier as the undersigned's true and lawful attorney-in-fact to:
execute for and on behalf of the undersigned Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 (the “Act”) and the rules thereunder, and statements on Schedule 13G pursuant to Rule 13(d) under the Act, in the undersigned's capacity as a reporting person with respect to Altimmune, Inc. (the "Company");
do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 and statements on Schedule 13G, complete and execute any amendment or amendments thereto, and timely file such form with the U.S. Securities and Exchange Commission (the "SEC") and any securities exchange or similar authority; and
The undersigned hereby grants to the attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned also ratifies hereby any action previously taken by the attorney-in-fact that would have been authorized by this power of attorney if it has been in effect at the time such action was taken. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 and Rule 13(d) of the Act.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 and statements on Schedule 13G with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.
Name: James F. Watson