SEC Form 3 · accession 0001437749-18-022839
WINDTREE THERAPEUTICS INC /DE/ · WINT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Huang
Director · 10% Owner
Period of report
Dec 21, 2018
Accepted (ET)
Dec 31, 2018 · 5:12 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 | I | Via Panacea Venture Healthcare Fund I L.P. | |
| Common Stock | holding | — | — | — | 114,415 | I | Via Rui Jin (HK) Consulting Management Company Limited |
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 24, 2018 | Jun 24, 2020 | Common Stock | 769,649 | — | I |
| Series G WarrantsF1 | $4.05 | holding | — | — | — | Dec 24, 2018 | Dec 24, 2023 | Common Stock | 1,494,024 | — | I |
| Series D WarrantsF1 | $4.00 | holding | — | — | — | Jan 2, 2019 | Jul 2, 2023 | Common Stock | 187,500 | — | I |
Explanation of responses
- F1The Reporting Person is Director of Panacea Venture Healthcare Fund I L.P. The Reporting Person disclaims beneficial ownership of the shares held by the fund, except to the extent of his pecuniary interest therein.