SEC Form 4 · accession 0001437749-17-003779
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
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:18 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 Stock | holding | — | — | — | 1,192 | D | ||
| Common Stock | holding | — | — | — | 12,116 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F1 | $1.23 | Mar 1, 2017 | A | 36,666 | A | Mar 1, 2018 | Mar 1, 2027 | Common Stock | 36,666 | 36,666 | D |
| Non-Qualified Stock Option (Right to Buy)F1 | $1.23 | Mar 1, 2017 | A | 18,334 | A | Mar 1, 2018 | Mar 1, 2027 | Common Stock | 18,334 | 18,334 | D |
Explanation of responses
- F1This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.