SEC Form 4 · accession 0001437749-17-002593
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
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946486
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F1 | $1.37 | Feb 13, 2017 | P | 17 | A | — | — | Common Stock | 17,000 | 17 | D |
| Series A-1 Warrants (Right to Buy)F3 | $1.37 | Feb 13, 2017 | P | 17,000 | A | Aug 15, 2017 | Aug 15, 2024 | Common Stock | 17,000 | 17,000 | D |
Explanation of responses
- F1Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.
- F2Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.
- F3Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.