4//SEC Filing
Center Laboratories, Inc. 4
Accession 0001213900-22-001391
CIK 0000946486other
Filed
Jan 9, 7:00 PM ET
Accepted
Jan 10, 5:03 PM ET
Size
18.2 KB
Accession
0001213900-22-001391
Insider Transaction Report
Form 4
Center Laboratories, Inc.
10% Owner
Transactions
- Purchase
Common Stock
2020-05-20$7.25/sh+55,172$399,997→ 1,239,088 total(indirect: By Bioengine Capital Inc.) - Other
SERIES G WARRANTS
2020-05-20−249,004→ 249,004 total(indirect: By Bioengine Capital Inc.)Exercise: $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(indirect: By Bioengine Capital Inc.) - Other
SERIES F WARRANTS
2020-06-24−0→ 0 total(indirect: By Bioengine Capital Inc.)Exercise: $3.68From: 2018-12-24Exp: 2020-06-24→ Common Stock (384,824 underlying) - Purchase
Common Stock
2021-12-30$1.60/sh+1,239,088$1,982,541→ 1,239,088 total - Purchase
SERIES J WARRANTS
2020-05-20+55,172→ 55,172 total(indirect: By Bioengine Capital Inc.)Exercise: $7.79From: 2022-05-22Exp: 2025-05-22→ Common Stock (55,172 underlying)
Footnotes (7)
- [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 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.
- [F2]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.
- [F3]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.
- [F4]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.
- [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 beneficial 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 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.
- [F7]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.
Documents
Issuer
WINDTREE THERAPEUTICS INC /DE/
CIK 0000946486
Entity typeother
IncorporatedTaiwan, Province of China
Related Parties
1- filerCIK 0001770423
Filing Metadata
- Form type
- 4
- Filed
- Jan 9, 7:00 PM ET
- Accepted
- Jan 10, 5:03 PM ET
- Size
- 18.2 KB