4//SEC Filing
Huang James 4
Accession 0000899243-23-005992
CIK 0000946486other
Filed
Feb 22, 7:00 PM ET
Accepted
Feb 23, 4:30 PM ET
Size
23.0 KB
Accession
0000899243-23-005992
Insider Transaction Report
Form 4
Huang James
Director10% Owner
Transactions
- Disposition to Issuer
Warrants (right to purchase)
2023-02-22−498,008→ 0 total(indirect: See Footnote)Exercise: $12.15From: 2018-12-24Exp: 2023-12-24→ Common Stock (498,008 underlying) - Award
Warrants (right to purchase)
2023-02-22+1,112,308→ 1,112,308 total(indirect: See Footnote)Exercise: $0.14From: 2023-02-22Exp: 2023-02-22→ Common Stock (1,112,308 underlying) - Disposition to Issuer
Warrants (right to purchase)
2023-02-22−275,938→ 0 total(indirect: See Footnote)Exercise: $12.09From: 2020-06-06Exp: 2024-12-06→ Common Stock (275,938 underlying) - Exercise of In-Money
Common Stock
2023-02-22$0.14/sh+1,112,308$156,947→ 3,449,161 total(indirect: See Footnote) - Disposition to Issuer
Warrants (right to purchase)
2023-02-22−62,500→ 0 total(indirect: See Footnote)Exercise: $12.00From: 2019-01-02Exp: 2023-07-02→ Common Stock (62,500 underlying) - Disposition to Issuer
Warrants (right to purchase)
2023-02-22−275,862→ 0 total(indirect: See Footnote)Exercise: $7.97From: 2020-05-22Exp: 2025-05-22→ Common Stock (275,862 underlying) - Exercise of In-Money
Warrants (right to purchase)
2023-02-22−1,112,308→ 0 total(indirect: See Footnote)Exercise: $0.14From: 2023-02-22Exp: 2023-02-22→ Common Stock (1,112,308 underlying) - Award
Warrants (right to purchase)
2023-02-22+2,224,616→ 2,224,616 total(indirect: See Footnote)Exercise: $0.22From: 2023-08-21Exp: 2028-08-21→ Common Stock (2,224,616 underlying)
Holdings
- 296,281
Common Stock
Footnotes (2)
- [F1]Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.
- [F2]Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.
Documents
Issuer
WINDTREE THERAPEUTICS INC /DE/
CIK 0000946486
Entity typeother
Related Parties
1- filerCIK 0001573160
Filing Metadata
- Form type
- 4
- Filed
- Feb 22, 7:00 PM ET
- Accepted
- Feb 23, 4:30 PM ET
- Size
- 23.0 KB