SEC Form 5 · accession 0001140361-15-007510
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Hoy
Officer — VP, Manufacturing Ops.
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 4:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946486
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 31, 2014 | A | 2,035 | $2.15 | A | 36,212 | I | By Trust |
| Common StockF1 | Jun 30, 2014 | A | 2,458 | $1.78 | A | 36,212 | I | By Trust |
| Common StockF1 | Sep 30, 2014 | A | 2,543 | $1.72 | A | 36,212 | I | By Trust |
| Common StockF1 | Dec 31, 2014 | A | 3,772 | $1.16 | A | 36,212 | I | By Trust |
| Common Stock | holding | — | — | — | 6,667 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction reported on Table I represents Issuer's matching stock contribution pursuant to 401(k) plan.