Home > Insider Trading > Filing (0001213900-19-025802)

Filing Details

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
1737494	Ltd Investments Ii Lph	1/F Building 20E Phase 3 Hong Kong Science Park Shatin K3		No	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	4,008,234	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

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	2024-12-05	No	4	P	Direct

Footnotes

Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby the Reporting Person subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and the Reporting Person received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share.