SEC Form 4 · accession 0001140361-15-028590
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G Cooper
Officer — President & CEO · Director
Period of report
Jul 22, 2015
Accepted (ET)
Jul 24, 2015 · 4:36 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 | Jul 22, 2015 | P$0 | 41,667 | — | A | 64,313 | D | |
| Common StockF2 | Mar 31, 2015 | A | 2,836 | $1.19 | A | 42,547 | I | By Trust |
| Common StockF2 | Jun 30, 2015 | A | 4,964 | $0.68 | A | 47,511 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrants (Right to Buy)F3 | $0.70 | Jul 22, 2015 | P | 41,667 | A | Jul 22, 2015 | Jul 22, 2022 | Common Stock | 41,667 | 41,667 | D |
Explanation of responses
- F1Common Stock in connection with the purchase of Series A units acquired in an underwritten public offering of Series A units and Series B units with a unit purchase price of $0.60. Each Series A unit consists of one share of common stock and one Series A warrant to purchase one share of common stock at an initial exercise price of $0.70 per share. Refer to Table II for related Series A warrant information.
- F2Transaction reported on Table I represents Issuer's matching stock contribution pursuant to 401(k) plan.
- F3Series A Warrants in connection with the purchase of Series A units acquired in an underwritten public offering of Series A units and Series B units with a unit purchase price of $0.60. Each Series A unit consists of one share of common stock and one Series A warrant to purchase one share of common stock at an initial exercise price of $0.70 per share. Refer to Table I for related common stock information.