SEC Form 4 · accession 0001140361-16-050178
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Simonson
Officer — SVP, Chief Development Officer
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 6:47 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,F2 | Sep 30, 2015 | A | 804 | $4.20 | A | 1,742 | I | By Trust |
| Common StockF1,F2 | Dec 31, 2015 | A | 2,630 | $2.99 | A | 4,372 | I | By Trust |
| Common StockF1 | holding | — | — | — | 1,192 | 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)F3 | $2.33 | Feb 1, 2016 | A | 11,917 | A | Feb 1, 2017 | Feb 1, 2026 | Common Stock | 11,917 | 11,917 | D |
| Non-Qualified Stock Option (Right to Buy)F3 | $2.33 | Feb 1, 2016 | A | 23,797 | A | Feb 1, 2017 | Feb 1, 2026 | Common Stock | 23,797 | 23,797 | D |
Explanation of responses
- F1Adjusted to reflect 1-for-14 reverse stock split effective January 22, 2016.
- F2Transaction reported on Table I represents Issuer's matching stock contribution pursuant to 401(k) plan.
- F3This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.