Filing Details
- Accession Number:
- 0001437749-19-024141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-10 16:36:01
- Reporting Period:
- 2019-12-06
- Accepted Time:
- 2019-12-10 16:36:01
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 946486 | Windtree Therapeutics Inc | WINT | Biological Products, (No Disgnostic Substances) (2836) | 943171943 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1573160 | James Huang | C/O Windtree Therapeutics, Inc. 2600 Kelly Road, Suite 100 Warrington PA 18976 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-12-06 | 1,655,629 | $3.02 | 6,182,974 | No | 4 | P | Indirect | Via Panacea Venture Healthcare Fund I L.P. |
| Common Stock | Acquisiton | 2019-12-06 | 96,429 | $0.00 | 210,844 | No | 4 | A | Indirect | Via Rui Jin (HK) Consulting Management Company Limited |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Via Panacea Venture Healthcare Fund I L.P. |
| No | 4 | A | Indirect | Via Rui Jin (HK) Consulting Management Company Limited |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series I Warrants | Acquisiton | 2019-12-06 | 827,815 | $0.00 | 827,815 | $4.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 827,815 | 2020-06-06 | 2024-12-06 | No | 4 | P | Indirect |
Footnotes
- The Reporting Person is Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein.
- Issued in connection with a Placement Agency Agreement for the Company's offering of common stock and warrants on December 6, 2019. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited.
- Issued in connection with the purchase of shares of common stock on December 6, 2019 as reported above.
Billionaire Hedge Funds
