Lee's Pharmaceutical Holdings Ltd 4
4 · WINDTREE THERAPEUTICS INC /DE/ · Filed Dec 10, 2019
Insider Transaction Report
Form 4
Lee's Pharmaceutical Holdings Ltd
10% Owner
Transactions
- Purchase
Common Stock
2019-12-06$3.02/sh+1,655,629$5,000,000→ 14,450,599 total(indirect: By Subsidiary) - Purchase
Series I Warrants
2019-12-06+827,815→ 827,815 total(indirect: By Subsidiary)Exercise: $4.03From: 2020-06-06Exp: 2024-12-05→ Common Stock (827,815 underlying)
Footnotes (1)
- [F1]Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of 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 LPH II 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.