WINT

SEC source: 0001437749-24-030918 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,638

F1 · balance_after: Adjusted to reflect 1-for-18 reverse stock split effective April 19, 2024.

SEC source: 0001437749-24-023368 · rdgdoc.xml · derivative · entry 2

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,674

Underlying: Common Stock · 2,674 shares

Expires not disclosed

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001437749-24-023368 · rdgdoc.xml · derivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13

Underlying: Common Stock · 3,471 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001437749-24-023367 · rdgdoc.xml · derivative · entry 2

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,011

Underlying: Common Stock · 4,011 shares

Expires not disclosed

F2 · price: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 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.

F2 · derivative.exercise_date: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 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.

F2 · derivative.expiration_date: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 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.

SEC source: 0001437749-24-023367 · rdgdoc.xml · derivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19

Underlying: Common Stock · 5,073 shares

Expires not disclosed

F1 · derivative.exercise_price: On July 22, 2024, the Reporting Person acquired 19 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.

F1 · price: On July 22, 2024, the Reporting Person acquired 19 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.

F1 · derivative.exercise_date: On July 22, 2024, the Reporting Person acquired 19 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.

F1 · derivative.expiration_date: On July 22, 2024, the Reporting Person acquired 19 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.

SEC source: 0001437749-23-026969 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,877

SEC source: 0001437749-23-026828 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,377

SEC source: 0001437749-23-024716 · rdgdoc.xml · derivative · entry 2

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,050

Underlying: Common Stock · 3,050 shares

Expires 2033-08-23

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024716 · rdgdoc.xml · nonDerivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,133

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

F2 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-024715 · rdgdoc.xml · derivative · entry 2

Strobeck Mark · CIK 0001599219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,450

Underlying: Common Stock · 3,450 shares

Expires 2033-08-23

F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024715 · rdgdoc.xml · nonDerivative · entry 1

Strobeck Mark · CIK 0001599219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,300

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024714 · rdgdoc.xml · derivative · entry 2

SCOTT ROBERT A · CIK 0001248520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,050

Underlying: Common Stock · 3,050 shares

Expires 2033-08-23

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024714 · rdgdoc.xml · nonDerivative · entry 1

SCOTT ROBERT A · CIK 0001248520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,133

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

F2 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-024713 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,800

Underlying: Common Stock · 23,800 shares

Expires 2033-08-23

F3 · derivative.exercise_date: 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.

SEC source: 0001437749-23-024713 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,440

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs 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.

SEC source: 0001437749-23-024712 · rdgdoc.xml · derivative · entry 2

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2033-08-23

F2 · derivative.exercise_date: 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.

SEC source: 0001437749-23-024712 · rdgdoc.xml · nonDerivative · entry 1

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,920

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs 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.

SEC source: 0001437749-23-024710 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,800

Underlying: Common Stock · 68,800 shares

Expires 2033-08-23

F3 · derivative.exercise_date: 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.

SEC source: 0001437749-23-024710 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,877

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs 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.

SEC source: 0001437749-23-024844 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,050

Underlying: Common Stock · 3,050 shares

Expires 2033-08-23

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024844 · rdgdoc.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,175

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

F2 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-011245 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,010

SEC source: 0001437749-23-011064 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,513

SEC source: 0001437749-23-005268 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,198

F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-005270 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,573

F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-005267 · rdgdoc.xml · nonDerivative · entry 1

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,253

F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001437749-23-005266 · rdgdoc.xml · nonDerivative · entry 1

CARMAN DIANE · CIK 0001871113 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,227

F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 9

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,224,616

Underlying: Common Stock · 2,224,616 shares

Expires 2028-08-21

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 8

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,112,308 shares

Expires 2023-02-22

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 7

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,112,308

Underlying: Common Stock · 1,112,308 shares

Expires 2023-02-22

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 6

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 62,500 shares

Expires 2023-07-02

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 5

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 498,008 shares

Expires 2023-12-24

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 4

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 275,938 shares

Expires 2024-12-06

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 275,862 shares

Expires 2025-05-22

F2 · kind: 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.

F1 · ownership.nature: 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.

SEC source: 0000899243-23-005992 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,449,161

F1 · ownership.nature: 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.

SEC source: 0001437749-22-017890 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,558

SEC source: 0001437749-22-017793 · rdgdoc.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,800

F1 · price: The shares were purchased in multiple trades at prices ranging from $0.3639 to $0.37. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001437749-22-017791 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,058

SEC source: 0001437749-22-016607 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,558

SEC source: 0001437749-22-016227 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,058

F1 · price: The shares were purchased in multiple trades at prices ranging from $0.4115 to $0.4200. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001437749-22-014722 · rdgdoc.xml · derivative · entry 2

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014722 · rdgdoc.xml · nonDerivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014719 · rdgdoc.xml · derivative · entry 2

SCOTT ROBERT A · CIK 0001248520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014719 · rdgdoc.xml · nonDerivative · entry 1

SCOTT ROBERT A · CIK 0001248520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014716 · rdgdoc.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014716 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,281

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014714 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014714 · rdgdoc.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,069

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-006612 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,058

SEC source: 0001437749-22-006317 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,602