Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | WINT | Common Stock | Other | $0 | -3.55M | -75% | $0.00 | 1.18M | May 20, 2020 | By Bioengine Capital Inc. | F1, F2 |
transaction | WINT | Common Stock | Purchase | $400K | +55.2K | +4.66% | $7.25 | 1.24M | May 20, 2020 | By Bioengine Capital Inc. | F2 |
transaction | WINT | Common Stock | Purchase | $1.98M | +1.24M | $1.60 | 1.24M | Dec 30, 2021 | Direct | F3 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | WINT | SERIES F WARRANTS | Other | $0 | 0 | $0.00* | 0 | Jun 24, 2020 | Common Stock | 385K | $3.68 | By Bioengine Capital Inc. | F4 | |
transaction | WINT | SERIES G WARRANTS | Other | $0 | -249K | -50% | $0.00 | 249K | May 20, 2020 | Common Stock | 249K | $12.15 | By Bioengine Capital Inc. | F5, F6, F7 |
transaction | WINT | SERIES J WARRANTS | Purchase | $0 | +55.2K | $0.00 | 55.2K | May 20, 2020 | Common Stock | 55.2K | $7.80 | By Bioengine Capital Inc. | F6 |
Center Laboratories, Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
Id | Content |
---|---|
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. |
This filing constitutes a Form 4 exit filing for the Reporting Person, as the Reporting Person is no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended, as a result of the transactions reported herein.