SEC Form 4 · accession 0001437749-18-021250
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 21, 2018
Accepted (ET)
Nov 23, 2018 · 9:48 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 StockF1,F2 | Nov 21, 2018 | C | 350 | — | A | 99,535 | D | |
| Common StockF2,F4 | holding | — | — | — | 441 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2,F3 | $27.40 | Nov 21, 2018 | C | 7 | D | — | — | Common Stock | 350 | 0 | D |
Explanation of responses
- F1Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.
- F2Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.
- F3Series A Convertible Preferred Stock was immediately convertible and had no expiration date.
- F4Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.