Key facts
- This page summarizes Center Laboratories, Inc.'s Form 4 filing for WINDTREE THERAPEUTICS INC /DE/ (WINT).
- 6 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 10 Jan 2022, 16:03.
Center Laboratories, Inc. - 20 May 2020 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- WINT
- Reported as of
- 20 May 2020
- Net transaction value
- +$2,382,538
- Reporting owner signature
- /s/ Lin, Jung-Chin
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Key filing fact
Center Laboratories, Inc. filed Form 4 for WINDTREE THERAPEUTICS INC /DE/ (WINT) on 10 Jan 2022.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: +$2,382,538.
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
Other
- Transaction value
- $0
- Shares
- -3,551,750
- Change %
- -75%
- Price
- $0.000000
- Shares after
- 1,183,916
- Date
- 20 May 2020
- Ownership
- By Bioengine Capital Inc.
- Footnotes
- F1, F2
WINT
transaction
Common Stock
Purchase
- Transaction value
- $399,997
- Shares
- +55,172
- Change %
- +4.7%
- Price
- $7.25
- Shares after
- 1,239,088
- Date
- 20 May 2020
- Ownership
- By Bioengine Capital Inc.
- Footnotes
- F2
WINT
transaction
Common Stock
Purchase
- Transaction value
- $1,982,541
- Shares
- +1,239,088
- Change %
- Price
- $1.60
- Shares after
- 1,239,088
- Date
- 30 Dec 2021
- Ownership
- Direct
- Footnotes
- F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
WINT
transaction
Derivative
SERIES F WARRANTS
Other
- Transaction value
- $0
- Shares
- 0
- Change %
- Price
- $0.000000*
- Shares after
- 0
- Date
- 24 Jun 2020
- Ownership
- By Bioengine Capital Inc.
- Underlying class
- Common Stock
- Underlying amount
- 384,824
- Exercise price
- $3.68
- Footnotes
- F4
WINT
transaction
Derivative
SERIES G WARRANTS
Other
- Transaction value
- $0
- Shares
- -249,004
- Change %
- -50%
- Price
- $0.000000
- Shares after
- 249,004
- Date
- 20 May 2020
- Ownership
- By Bioengine Capital Inc.
- Underlying class
- Common Stock
- Underlying amount
- 249,004
- Exercise price
- $12.15
- Footnotes
- F5, F6, F7
WINT
transaction
Derivative
SERIES J WARRANTS
Purchase
- Transaction value
- $0
- Shares
- +55,172
- Change %
- Price
- $0.000000
- Shares after
- 55,172
- Date
- 20 May 2020
- Ownership
- By Bioengine Capital Inc.
- Underlying class
- Common Stock
- Underlying amount
- 55,172
- Exercise price
- $7.80
- Footnotes
- F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Center Laboratories, Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 7 footnotes
Footnote F1
The Reporting Person voluntarily discloses that, on May 20, 2020, the Issuer effected a 1-for-3 reverse stock split of its Common Stock (the "Reverse Stock Split"), which resulted in the Reporting Person's beneficial ownership of issued and outstanding Common Stock being reduced from 3,551,750 shares of Common Stock to 1,183,916 shares of Common Stock. The shares of Common Stock are directly held by Bioengine Capital Inc., and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
Footnote F2
The shares of Common Stock are directly held by Bioengine Capital Inc, and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
Footnote F3
On December 30, 2021, the Reporting Person purchased all remaining shares of Common Stock held by Bioengine Capital Inc., and now holds the shares directly.
Footnote F4
The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants.
Footnote F5
The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's beneficial ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants.
Footnote F6
The Series G and Series J Warrants are directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
Footnote F7
The exercise of the Series G Warrants is subject to a beneficial ownership limitation of 9.99%, and this limitation can only be changed with effect from the 61st day after a notice requesting such change is delivered to the Issuer.
SEC remarks
This filing constitutes a Form 4 exit filing for the Reporting Person, as the Reporting Person is no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended, as a result of the transactions reported herein.