SEC Form 3 · accession 0001437749-18-022823
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Dec 21, 2018
Accepted (ET)
Dec 31, 2018 · 4:34 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 | — | — | — | 4,527,345 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F WarrantsF1 | $3.68 | holding | — | — | — | Dec 21, 2018 | Jun 21, 2020 | Common Stock | 769,649 | — | D |
| Series G WarrantsF1 | $4.05 | holding | — | — | — | Dec 21, 2018 | Dec 21, 2023 | Common Stock | 1,494,024 | — | D |
| Series D WarrantsF2 | $4.00 | holding | — | — | — | Jan 2, 2019 | Jul 2, 2023 | Common Stock | 187,500 | — | I |
Explanation of responses
- F1These securities of the Issuer are directly held by Panacea Venture Healthcare Fund I, L.P. Panacea Venture Healthcare Fund GP I, L.P. is the general partner of Panacea Venture Healthcare Fund I, L.P. Panacea Venture Healthcare Fund GP Company, Ltd. is the general partner of Panacea Venture Healthcare Fund GP I, L.P. Huang Zuie-Chin and Hai Mi are the directors of Panacea Venture Healthcare Fund GP Company, Ltd. By virtue of these relationships, Panacea Venture Healthcare Fund GP I, L.P., Panacea Venture Healthcare Fund GP Company, Ltd., Huang Zuie-Chin and Hai Mi each may be deemed to indirectly beneficially own the securities held by Panacea Venture Healthcare Fund I, L.P., however each disclaims beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein.
- F2These securities of the Issuer are directly held by Panacea Venture Management Company Ltd. Huang Zuie-Chin and Hai Mi are the directors of Panacea Venture Healthcare Fund GP Company, Ltd. By virtue of these relationships, Huang Zuie-Chin and Hai Mi may be deemed to indirectly beneficially own the securities held by Panacea Venture Management Company Ltd., however each disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.