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Filing Details

Accession Number:: 0001213900-22-001390
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-01-10 17:03:07
Reporting Period:: 2020-05-20

Accepted Time:: 2022-01-10 17:03:07
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
1770197	Bioengine Capital Inc.	7Th Fl., No.3-2, Park St., Nangang Dist. Taipei City F5 11503		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2020-05-20	3,551,750	$0.00	1,183,916	No	5	J	Direct
Common Stock	Acquisiton	2020-05-20	55,172	$7.25	1,239,088	No	4	P	Direct
Common Stock	Disposition	2021-12-30	1,239,088	$1.60	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	5	J	Direct
No	4	P	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	SERIES F WARRANTS	Disposition	2020-06-24	0	$0.00	384,824	$3.68
Common Stock	SERIES G WARRANTS	Disposition	2020-05-20	249,004	$0.00	249,004	$12.15
Common Stock	SERIES J WARRANTS	Acquisiton	2020-05-20	55,172	$0.00	55,172	$7.98

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2018-12-24	2020-06-24	No	5	J	Direct
249,004	2018-12-24	2023-12-24	No	5	J	Direct
55,172	2020-05-22	2025-05-22	No	4	P	Direct

Footnotes

The Reporting Person voluntarily discloses that, on May 20, 2020, the Issuer effected a 1-for-3 reverse stock split of its Common Stock (the "Reverse Stock Split"), which resulted in the Reporting Person's ownership of issued and outstanding Common Stock being reduced from 3,551,750 shares of Common Stock to 1,183,916 shares of Common Stock.
The shares were directly held by the Reporting Person and indirectly held by Center Laboratories, Inc., which owns 58.6% of the Reporting Person.
On December 30, 2021, the Reporting Person sold all its remaining shares of Common Stock to Center Laboratories, Inc., which owns 58.6% of the Reporting Person. As a result of the foregoing transaction, the Reporting Person now directly owns 0 shares of Common Stock.
The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. As a result, the Reporting Person now directly owns 0 shares of Series F Warrants.
The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants.
The exercise of the Series G Warrants is subject to a beneficial ownership limitation of 9.99% and this limitation can only be changed with effect from the 61st day after a notice requesting such change is delivered to the Issuer.