Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PERNIX THERAPEUTICS HOLDINGS, INC.PTX · Entity 161208 | Director | May 22, 2018 | May 23, 2018 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director | February 03, 2021 | February 06, 2021 |
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.
PERNIX THERAPEUTICS HOLDINGS, INC.
Report date May 22, 2018 · Filed May 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.63 · Expires 2028-05-21 | Direct | 25,000 |
Reported balance
After 2018-05-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-05-22 · Grant · Acquired 25,000 · Balance 25,000 F1: The stock option vests in four equal annual installments of 6,250 shares over a four year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option vests in four equal annual installments of 6,250 shares over a four year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date.
WINDTREE THERAPEUTICS INC /DE/
Report date February 03, 2021 · Filed February 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.50 · Expires 2031-02-03 | Direct | 15,000 |
Reported balance
After 2021-02-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-02-03 · Grant · Acquired 15,000 · Balance 15,000 F1: The stock options were fully vested and exercisable on the grant date. |
| Common StockSEC Table I · non-derivative | Direct | 7,473 |
Reported balance
Holding disclosure · report date 2021-02-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,473 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options were fully vested and exercisable on the grant 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 |
|---|---|---|---|---|---|---|
| February 03, 2021 Filed Feb 6, 2021 02:05 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-21-002144 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-02-03 F1 · derivative.exercise_date: The stock options were fully vested and exercisable on the grant date. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:39 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011869 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F2 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:39 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011869 · rdgdoc.xml · nonDerivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,473 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:09 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001437749-19-013408 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-06-28 F1 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:23 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022664 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2028-12-24 F2 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:23 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022664 · rdgdoc.xml · nonDerivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,212 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 02:46 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionSeries A Convertible Preferred Stock · Derivative | 13 | Not disclosed Strike: $27.40 | Not disclosed |
DisclosureSEC source: 0001437749-18-021247 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 650 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants. F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date. F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date. F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 02:46 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionCommon Stock | 650 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-021247 · rdgdoc.xml · nonDerivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,212 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants. F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. Read SEC document |
| May 22, 2018 Filed May 23, 2018 17:26 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001136261-18-000142 · primary_doc.xml · derivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-05-21 F1 · derivative.exercise_date: The stock option vests in four equal annual installments of 6,250 shares over a four year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 14:35 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.97 | $0.00 |
DisclosureSEC source: 0001136261-17-000284 · primary_doc.xml · derivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-11-14 F1 · derivative.exercise_date: The stock option vests in four equal annual installments of 12,500 shares over a four-year period, with the first installment vesting on November 15, 2018, which is the one-year anniversary of the grant date. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 22:11 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A-1 Warrants (Right to Buy) · Derivative | 13,000 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002592 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2024-08-15 F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 22:11 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A Convertible Preferred Stock · Derivative | 13 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002592 · rdgdoc.xml · derivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13 Underlying: Common Stock · 13,000 shares Expires not disclosed F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37. F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date. F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date. 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.