James Huang - 15 Jun 2021 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)

Role
Director
Signature
/s/ John P. Hamill, as Attorney-in-Fact
Issuer symbol
WINT
Transactions as of
15 Jun 2021
Net transactions value
$0
Form type
4
Filing time
17 Jun 2021, 20:03:23 UTC
Previous filing
12 May 2021
Next filing
03 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding WINT Common Stock 241,281 15 Jun 2021 Direct F1
holding WINT Common Stock 2,336,853 15 Jun 2021 Via Panacea Venture Healthcare Fund I L.P. F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction WINT Stock Option (Right to Buy) Award $0 +15,000 $0.000000 15,000 15 Jun 2021 Common Stock 15,000 $2.28 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 70,281 shares previously reported as beneficially owned indirectly via Rui Jin(HK)Consulting Management Company Limited were transferred and are now beneficially owned directly by the reporting person.
F2 The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein.
F3 The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.