SEC Form 4 · accession 0001437749-17-018209
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig Fraser
Officer — President and CEO · Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 9:29 am 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 | Nov 1, 2017 | A | 1,976,190 | $0.00 | A | 1,983,690 | D | |
| Common StockF2 | holding | — | — | — | 8,820 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019.
- F2Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.