James Huang - Jun 15, 2021 Form 4 Insider Report for WINDTREE THERAPEUTICS INC /DE/ (WINT)

Role
Director
Signature
/s/ John P. Hamill, as Attorney-in-Fact
Stock symbol
WINT
Transactions as of
Jun 15, 2021
Transactions value $
$0
Form type
4
Date filed
6/17/2021, 08:03 PM
Previous filing
May 12, 2021
Next filing
Sep 3, 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding WINT Common Stock 241K Jun 15, 2021 Direct F1
holding WINT Common Stock 2.34M Jun 15, 2021 Via Panacea Venture Healthcare Fund I L.P. F2

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 +15K $0.00 15K Jun 15, 2021 Common Stock 15K $2.28 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 70,281 shares previously reported as beneficially owned indirectly via Rui Jin(HK)Consulting Management Company Limited were transferred and are now beneficially owned directly by the reporting person.
F2 The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein.
F3 The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.