SEC Form 4 · accession 0001437749-16-036121
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Tattory
Officer — SVP & CFO
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 7:04 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 | Mar 31, 2016 | A | 1,077 | $1.67 | A | 5,467 | I | By Trust |
| Common StockF1 | Jun 30, 2016 | A | 1,088 | $1.93 | A | 6,555 | I | By Trust |
| Common Stock | holding | — | — | — | 1,071 | 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 | $1.77 | Jul 28, 2016 | A | 16,666 | A | Jul 28, 2017 | Jul 28, 2026 | Common Stock | 16,666 | 16,666 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $1.77 | Jul 28, 2016 | A | 8,334 | A | Jul 28, 2017 | Jul 28, 2026 | Common Stock | 8,334 | 8,334 | D |
Explanation of responses
- F1Transaction reported on Table I 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.