Diane Carman Esq. - 01 Jul 2021 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)

Role
SVP & General Counsel
Signature
/s/ Diane Carman, Esq.
Issuer symbol
WINT
Transactions as of
01 Jul 2021
Net transactions value
$0
Form type
4
Filing time
06 Jul 2021, 16:05:26 UTC
Next filing
07 Mar 2022
SEC
View on sec.gov

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 +150,000 $0.000000 150,000 01 Jul 2021 Common Stock 150,000 $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).