SEC Form 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|Estimated average burden|
|hours per response:
||Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
1. Name and Address of Reporting Person*
|C/O AQUESTIVE THERAPEUTICS, INC.|
|30 TECHNOLOGY DRIVE|
2. Issuer Name and Ticker or Trading Symbol
Aquestive Therapeutics, Inc.
[ AQST ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
||Officer (give title below)
||Other (specify below)
Chief Medical Officer
3. Date of Earliest Transaction
4. If Amendment, Date of Original Filed
6. Individual or Joint/Group Filing (Check Applicable Line)
||Form filed by One Reporting Person
||Form filed by More than One Reporting Person
|Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned|
|1. Title of Security (Instr.
||2. Transaction Date
||2A. Deemed Execution Date, if any
||3. Transaction Code (Instr.
||4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
||6. Ownership Form: Direct (D) or Indirect (I) (Instr.
||7. Nature of Indirect Beneficial Ownership (Instr.
||(A) or (D)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned|
(e.g., puts, calls, warrants, options, convertible securities)
|1. Title of Derivative Security (Instr.
||2. Conversion or Exercise Price of Derivative Security
||3. Transaction Date
||3A. Deemed Execution Date, if any
||4. Transaction Code (Instr.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
||6. Date Exercisable and Expiration Date
||7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
||8. Price of Derivative Security (Instr.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
||10. Ownership Form: Direct (D) or Indirect (I) (Instr.
||11. Nature of Indirect Beneficial Ownership (Instr.
||Amount or Number of Shares
|Non-Qualified Stock Option (right to buy)
|Explanation of Responses:|
||/s/ Lori Braender, as Attorney-In-Fact
||** Signature of Reporting Person
|Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.|
|* If the form is filed by more than one reporting person,
|** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).|
|Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.|
|Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.|
POWER OF ATTORNEY
KNOW ALL BY THESE PRESENTS, that the undersigned hereby constitutes and appoints
each of Lori J.
Braender, A. Ernest Toth, Jr., Valerie Borchevsky and Ellen S. Knarr, signing
undersigned's true and lawful attorney-in-fact to: (i) execute for and on behalf
of the undersigned,
in the undersigned's capacity as a director of Aquestive Therapeutics, Inc. (the
"Company"), a Form
ID, including updates thereto, and Forms 3, 4, and 5 in accordance with Section
l6(a) of the
Securities Exchange Act of 1934 and the rules thereunder; (ii) 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 ID, including updates thereto, or Form 3, 4, or 5 and timely file such
form with the
United States Securities and Exchange Commission and any stock exchange or
similar authority; and
(iii) take any other action of any type whatsoever in connection with the
foregoing which, in the
opinion of such attorney-in-fact, may be of benefit to, in the best interest of,
required by, the undersigned, it being understood that the documents executed by
attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney
shall be in such
form and shall contain such terms and conditions as such attorney-in-fact may
approve in such
The undersigned hereby grants to each such 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
revocation, hereby ratifying and confirming all that such attorney-in-fact's
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 acknowledges that the
attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of
the Securities Exchange Act of 1934.
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 with respect to the undersigned's holdings of
in securities issued by the Company, unless earlier revoked by the undersigned
in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this Power of Attorney to be executed
day 6th day of September 2022
Kenneth E. Truitt, MD