Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LadRx CorpCYTR · Entity 94858 | Pres., Chief Operating Officer | May 03, 2018 | May 21, 2018 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | SVP & COO | August 23, 2023 | August 25, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LadRx Corp
Report date May 03, 2018 · Filed May 21, 2018
This filing explicitly reported no securities owned.
WINDTREE THERAPEUTICS INC /DE/
Report date August 23, 2023 · Filed August 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,920 |
Reported balance
After 2023-08-23 transaction · row 1
1 source rowRow 1 · 2023-08-23 · Grant · Acquired 14,667 · Balance 15,920 F1: 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. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.21 · Expires 2033-08-23 | Direct | 22,000 |
Reported balance
After 2023-08-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-08-23 · Grant · Acquired 22,000 · Balance 22,000 F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2023 Filed Aug 25, 2023 22:00 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 22:00 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 14,667 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 28, 2023 Filed Mar 3, 2023 01:26 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 99 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:48 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 99,600 | $0.00 Strike: $1.02 | $0.00 |
DisclosureSEC source: 0001437749-22-005414 · rdgdoc.xml · derivative · entry 2 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,600 Underlying: Common Stock · 99,600 shares Expires 2032-03-04 F2 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date. Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:48 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 66,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005414 · rdgdoc.xml · nonDerivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,591 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 February 28, 2023 provided that the reporting person remains in continuous service on each vesting date. Read SEC document |
| April 07, 2021 Filed Apr 8, 2021 20:16 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 791 | $2.52 | $1,991.11 |
DisclosureSEC source: 0001437749-21-008559 · rdgdoc.xml · nonDerivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,291 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.515 to $2.5185. 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. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 21:32 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001280 · rdgdoc.xml · derivative · entry 2 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-01-22 F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant date. Read SEC document |
| October 08, 2020 Filed Oct 9, 2020 12:03 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $5.27 | $2,635.00 |
DisclosureSEC source: 0001437749-20-020955 · rdgdoc.xml · nonDerivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Read SEC document |
| July 29, 2020 Filed Oct 9, 2020 21:06 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 205,461 | $0.00 Strike: $7.65 | $0.00 |
DisclosureSEC source: 0001437749-20-021001 · rdgdoc.xml · derivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,461 Underlying: Common Stock · 205,461 shares Expires 2030-07-29 F1 · date: On July 29, 2020, the Compensation Committee (the "Committee") of the Board of Directors of Windtree Therapeutics, Inc., a Delaware corporation (the "Company") granted the stock option to Mr. Curtis outside of the Windtree Therapeutics, Inc. 2011 Long-Term Incentive Plan (the "Plan"), subject to approval by the stockholders of the Company at a later date. On September 29, 2020, the Committee amended the stock option grant to be under the Plan. F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.