Filing Details

Accession Number:
0001437749-20-011868
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-05-27 21:37:59
Reporting Period:
2020-05-22
Accepted Time:
2020-05-27 21:37:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
946486 Windtree Therapeutics Inc WINT Biological Products, (No Disgnostic Substances) (2836) 943171943
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1573160 James Huang C/O Windtree Therapeutics, Inc.
2600 Kelly Road, Suite 100
Warrington PA 18976
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-05-22 275,862 $7.25 2,336,853 No 4 P Indirect Via Panacea Venture Healthcare Fund I L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Via Panacea Venture Healthcare Fund I L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrants Acquisiton 2020-05-22 275,862 $0.00 275,862 $7.98
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
275,862 2020-05-22 2025-05-22 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 70,281 Indirect Via Rui Jin (HK) Consulting Management Company Limited
Common Stock 7,800 Direct
Footnotes
  1. Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020.
  2. The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein.
  3. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited.
  4. Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above.