Key facts
- This page summarizes Steven Simonson's Form 4 filing for WINDTREE THERAPEUTICS INC /DE/ (WINT).
- 2 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 24 Jul 2024, 17:28.
Steven Simonson - 22 Jul 2024 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)
- Reporting relationship
- SVP, Chief Medical Officer
- Issuer ticker
- WINT
- Reported as of
- 22 Jul 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 24 Jul 2024, 17:28:26 UTC
- Prior SEC filing
- 25 Aug 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Jamie McAndrew, as Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Steven Simonson filed Form 4 for WINDTREE THERAPEUTICS INC /DE/ (WINT) on 24 Jul 2024.
Change
- Previous filing in this sequence was filed on 25 Aug 2023.
- Current net transaction value: $0.
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 derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
WINT
transaction
Derivative
Series C Preferred Stock
Award
- Transaction value
- Shares
- +13
- Change %
- Price
- Shares after
- 13
- Date
- 22 Jul 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,471
- Exercise price
- Footnotes
- F1
WINT
transaction
Derivative
Warrants (Right to Buy)
Award
- Transaction value
- Shares
- +2,674
- Change %
- Price
- Shares after
- 2,674
- Date
- 22 Jul 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 2,674
- Exercise price
- $4.11
- Footnotes
- 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
On July 22, 2024, the Reporting Person acquired 13 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date.
Footnote F2
Pursuant to the Purchase Agreement, the Reporting Person acquired 2,674 warrants to purchase 2,674 shares of the Issuer's common stock, $0.001 par value per share ("Warrants"). The Warrants have an exercise price of $4.11 per share, subject to customary adjustments, and will become exercisable on the six month and one day anniversary of the issuance date (the "Initial Exercisability Date"), and expire on the fifth (5th) anniversary of the Initial Exercisability Date.