SEC Form 4 · accession 0001140361-15-013708
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy Cole
Officer — Senior VP, Human Resources
Period of report
Mar 27, 2015
Accepted (ET)
Mar 31, 2015 · 4:30 pm EDT
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 | holding | — | — | — | 39,419 | I | By Trust | |
| Common Stock | holding | — | — | — | 11,667 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F2 | $1.17 | Mar 27, 2015 | A | 50,001 | A | Mar 27, 2016 | Mar 27, 2025 | Common Stock | 50,001 | 50,001 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $1.17 | Mar 27, 2015 | A | 24,999 | A | Mar 27, 2016 | Mar 27, 2025 | Common Stock | 24,999 | 24,999 | D |
Explanation of responses
- F1Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.
- F2This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.