SEC Form 4 · accession 0001437749-16-036735
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marvin E Rosenthale
Director
Period of report
Aug 4, 2016
Accepted (ET)
Aug 8, 2016 · 4:08 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,F2 | Aug 4, 2016 | A | 4,348 | $0.00 | A | 6,211 | D | |
| Common StockF2,F3 | holding | — | — | — | 595 | I | By Spouse | |
| Common StockF2,F4 | holding | — | — | — | 1,071 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F5 | $1.84 | Aug 4, 2016 | A | 15,000 | A | Aug 4, 2017 | Aug 4, 2026 | 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.
- F2Adjusted to reflect 1-for-14 reverse stock split effective January 22, 2016.
- F3Dr. Rosenthale disclaims beneficial ownership of shares held by, or for the benefit of, his spouse.
- F4Shares held by the Marvin and Patricia Rosenthale Family Revocable Trust; Marvin and Patricia Rosenthale, Trustees.
- F5Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan.