Diane Carman - Jul 1, 2021 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)

Role
SVP & General Counsel
Signature
/s/ Diane Carman, Esq.
Stock symbol
WINT
Transactions as of
Jul 1, 2021
Transactions value $
$0
Form type
4
Date filed
7/6/2021, 04:05 PM
Next filing
Mar 7, 2022

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 +150K $0.00 150K Jul 1, 2021 Common Stock 150K $2.27 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4).