Bioengine Capital Inc. 4
4 · WINDTREE THERAPEUTICS INC /DE/ · Filed Jan 10, 2022
Insider Transaction Report
Form 4
Bioengine Capital Inc.
10% Owner
Transactions
- Other
SERIES F WARRANTS
2020-06-24−0→ 0 totalExercise: $3.68From: 2018-12-24Exp: 2020-06-24→ Common Stock (384,824 underlying) - Purchase
Common Stock
2020-05-20$7.25/sh+55,172$399,997→ 1,239,088 total - Other
SERIES G WARRANTS
2020-05-20−249,004→ 249,004 totalExercise: $12.15From: 2018-12-24Exp: 2023-12-24→ Common Stock (249,004 underlying) - Other
Common Stock
2020-05-20−3,551,750→ 1,183,916 total - Sale
Common Stock
2021-12-30$1.60/sh−1,239,088$1,982,541→ 0 total - Purchase
SERIES J WARRANTS
2020-05-20+55,172→ 55,172 totalExercise: $7.97From: 2020-05-22Exp: 2025-05-22→ Common Stock (55,172 underlying)
Footnotes (6)
- [F1]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.
- [F2]The shares were directly held by the Reporting Person and indirectly held by Center Laboratories, Inc., which owns 58.6% of the Reporting Person.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.