Jamie McAndrew - Aug 24, 2023 Form 3 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)

Role
VP, Controller, & CAO
Signature
/s/ Jamie McAndrew
Stock symbol
WINT
Transactions as of
Aug 24, 2023
Transactions value $
$0
Form type
3
Date filed
9/5/2023, 07:21 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding WINT Common Stock 10.2K Aug 24, 2023 Direct
holding WINT Common Stock 1 Aug 24, 2023 By Trust F1

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
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 1 $6,990.00 Direct F2
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 2 $5,310.00 Direct F2
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 5 $3,690.00 Direct F2
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 200 $592.50 Direct F2
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 400 $272.00 Direct F2
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 220 $272.00 Direct F3
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 372 $51.00 Direct F4
holding WINT Employee Stock Option (Right to Buy) Aug 24, 2023 Common Stock 15K $1.21 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.
F2 The shares subject to this option are fully vested and exercisable.
F3 This employee stock option shall vest and become exercisable with respect to one-third of the total number of shares subject to the option on an annual basis (every 12 months) with the first vest date on January 22, 2022 provided that the reporting person remains in continuous service on each vesting date.
F4 This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the option on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.
F5 This employee stock option shall vest and become exercisable with respect to one-third of the total number of shares subject to the option on an annual basis (every 12 months) with the first vest date on August 23, 2024 provided that the reporting person remains in continuous service on each vesting date.

Remarks:

Exhibit List - Exhibit 24 - Power of Attorney