SEC Form 3 · accession 0001213900-17-012437
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
LPH Investments Ltd
10% Owner
Period of report
Nov 1, 2017
Accepted (ET)
Nov 21, 2017 · 3:47 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 | holding | — | — | — | 46,232,085 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to a Securities Purchase Agreement dated October 27, 2017, LPH Investments Limited, a company incorporated in the Cayman Islands with limited liability, acquired 46,232,085 shares of common stock of the Issuer ("Common Stock") for an aggregate consideration of $10,000,000, as reported in Table I of this Form 3.