SEC Form 4 · accession 0001140361-15-032704
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mahady M Joseph
Director
Period of report
Aug 14, 2015
Accepted (ET)
Aug 18, 2015 · 4:40 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 | Aug 14, 2015 | A | 16,667 | $0.00 | A | 26,079 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F2 | $1.17 | Aug 14, 2015 | A | 15,000 | A | Aug 14, 2016 | Aug 14, 2025 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan.
- F2Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan.