SEC Form 4 · accession 0001437749-18-022666
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
Dec 24, 2018
Accepted (ET)
Dec 27, 2018 · 6:27 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 | Dec 24, 2018 | A | 15,000 | $0.00 | A | 16,160 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $4.22 | Dec 24, 2018 | A | 32,000 | A | Dec 24, 2019 | Dec 24, 2028 | Common Stock | 32,000 | 32,000 | 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.
- F2Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan.