SEC Form 4 · accession 0001437749-19-002270
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
Feb 7, 2019
Accepted (ET)
Feb 11, 2019 · 9:33 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 Stock | Feb 7, 2019 | D | 83,257 | $0.00 | D | 725 | D | |
| Common Stock | Feb 7, 2019 | A | 98,810 | $0.00 | A | 99,535 | D | |
| Common Stock | Feb 7, 2019 | F | 16,404 | $0.00 | D | 83,131 | D | |
| Common StockF2 | holding | — | — | — | 441 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms.
- F2Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.