Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | SVP & General Counsel | February 28, 2023 | March 03, 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.
WINDTREE THERAPEUTICS INC /DE/
Report date February 28, 2023 · Filed March 03, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,227 |
Reported balance
After 2023-02-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-28 · Tax withholding · Disposed 99 · Balance 1,227 F1: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.
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 |
|---|---|---|---|---|---|---|
| February 28, 2023 Filed Mar 3, 2023 01:25 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 99 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:47 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: 0001437749-22-005412 · rdgdoc.xml · derivative · entry 2 CARMAN DIANE · CIK 0001871113 · SVP & General Counsel 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 22:47 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 66,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005412 · rdgdoc.xml · nonDerivative · entry 1 CARMAN DIANE · CIK 0001871113 · SVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,300 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 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 |
| July 01, 2021 Filed Jul 6, 2021 20:05 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001437749-21-016434 · rdgdoc.xml · derivative · entry 1 CARMAN DIANE · CIK 0001871113 · SVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2031-07-01 F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4). 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.