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Filing Details

Accession Number:: 0001213900-22-001391
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-01-10 17:03:57
Reporting Period:: 2020-05-20

Accepted Time:: 2022-01-10 17:03:57
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
1770423	Center Laboratories, 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	Explanation
Common Stock	Disposition	2020-05-20	3,551,750	$0.00	1,183,916	No	5	J	Indirect	By Bioengine Capital Inc.
Common Stock	Acquisiton	2020-05-20	55,172	$7.25	1,239,088	No	4	P	Indirect	By Bioengine Capital Inc.
Common Stock	Acquisiton	2021-12-30	1,239,088	$1.60	1,239,088	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	J	Indirect	By Bioengine Capital Inc.
No	4	P	Indirect	By Bioengine Capital Inc.
No	4	P	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	$7.80

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	Indirect
249,004	2018-12-24	2023-12-24	No	5	J	Indirect
55,172	2022-05-22	2025-05-22	No	4	P	Indirect

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 beneficial 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 of Common Stock are directly held by Bioengine Capital Inc., and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
The shares of Common Stock are directly held by Bioengine Capital Inc, and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
On December 30, 2021, the Reporting Person purchased all remaining shares of Common Stock held by Bioengine Capital Inc., and now holds the shares directly.
The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly 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 beneficial ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants.
The Series G and Series J Warrants are directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
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.