Key facts
- This page summarizes James Huang's Form 4 filing for WINDTREE THERAPEUTICS INC /DE/ (WINT).
- 8 reported transactions and 7 derivative rows are listed below.
- Accepted by SEC: 23 Feb 2023, 15:30.
James Huang - 22 Feb 2023 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)
- Reporting relationship
- Director
- Issuer ticker
- WINT
- Reported as of
- 22 Feb 2023
- Net transaction value
- +$156,947
- SEC form
- 4
- Accepted by SEC
- 23 Feb 2023, 15:30:23 UTC
- Prior SEC filing
- 08 Sep 2022
- Next SEC filing
- 08 Jun 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ James Huang
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
James Huang filed Form 4 for WINDTREE THERAPEUTICS INC /DE/ (WINT) on 23 Feb 2023.
Change
- Previous filing in this sequence was filed on 08 Sep 2022.
- Current net transaction value: +$156,947.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
WINT
transaction
Common Stock
Exercise of in-the-money or at-the-money derivative security
- Transaction value
- $156,947
- Shares
- +1,112,308
- Change %
- +48%
- Price
- $0.1411
- Shares after
- 3,449,161
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Footnotes
- F1
WINT
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 296,281
- Date
- 22 Feb 2023
- Ownership
- Direct
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
WINT
transaction
Derivative
Warrants (right to purchase)
Disposed to Issuer
- Transaction value
- $0
- Shares
- -275,862
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 275,862
- Exercise price
- $7.98
- Footnotes
- F1, F2
WINT
transaction
Derivative
Warrants (right to purchase)
Disposed to Issuer
- Transaction value
- $0
- Shares
- -275,938
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 275,938
- Exercise price
- $12.09
- Footnotes
- F1, F2
WINT
transaction
Derivative
Warrants (right to purchase)
Disposed to Issuer
- Transaction value
- $0
- Shares
- -498,008
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 498,008
- Exercise price
- $12.15
- Footnotes
- F1, F2
WINT
transaction
Derivative
Warrants (right to purchase)
Disposed to Issuer
- Transaction value
- $0
- Shares
- -62,500
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 62,500
- Exercise price
- $12.00
- Footnotes
- F1, F2
WINT
transaction
Derivative
Warrants (right to purchase)
Award
- Transaction value
- $0
- Shares
- +1,112,308
- Change %
- Price
- $0.000000
- Shares after
- 1,112,308
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 1,112,308
- Exercise price
- $0.1411
- Footnotes
- F1, F2
WINT
transaction
Derivative
Warrants (right to purchase)
Exercise of in-the-money or at-the-money derivative security
- Transaction value
- $0
- Shares
- -1,112,308
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 1,112,308
- Exercise price
- $0.1411
- Footnotes
- F1
WINT
transaction
Derivative
Warrants (right to purchase)
Award
- Transaction value
- $0
- Shares
- +2,224,616
- Change %
- Price
- $0.000000
- Shares after
- 2,224,616
- Date
- 22 Feb 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 2,224,616
- Exercise price
- $0.2152
- Footnotes
- F1, F2
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 2 footnotes
Footnote F1
Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.
Footnote F2
Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.