SEC Form 4 · accession 0001437749-18-022677
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Tattory
Officer — SVP & CFO
Period of report
Dec 24, 2018
Accepted (ET)
Dec 27, 2018 · 7:19 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 | holding | — | — | — | 44,210 | D | ||
| Common StockF1,F2 | holding | — | — | — | 713 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $4.22 | Dec 24, 2018 | A | 738,335 | A | Dec 24, 2019 | Dec 24, 2028 | Common Stock | 738,335 | 738,335 | D |
Explanation of responses
- F1Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.
- F2Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.
- F3This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date.