Lee's Pharmaceutical Holdings Ltd

SEC source: 0001213900-19-025800 · ownership.xml · derivative · entry 2

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 827,815

Underlying: Common Stock · 827,815 shares

Expires 2024-12-05

F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and LPH II received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share.

SEC source: 0001213900-19-025800 · ownership.xml · nonDerivative · entry 1

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 14,450,599

F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and LPH II received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share.

SEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 5

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,042,224

Underlying: Common Stock · 597,610 shares

Expires 2023-12-24

F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 4

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,042,224

Underlying: Common Stock · 307,859 shares

Expires 2020-05-24

F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 2

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 12,794,970

F1 · balance_after: On December 22, 2017, the Issuer effected a 1-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · balance_after: Pursuant to an Agreement and Plan of Merger dated as of December 2, 2018 ("Merger Agreement") entered into between the Issuer, WT Acquisition Corp. ("Merger Sub") a wholly-owned subsidiary of the Issuer, and CVie Investments Limited ("CVie") ("Merger Parties"), Merger Sub merged with and into CVie, with CVie becoming the sole surviving entity as a wholly owned subsidiary of the Issuer ("Merger"). Under the Merger Agreement the Issuer issued Common Stock to CVie's former shareholders at an exchange ratio of 0.3512 share of Common Stock for each outstanding share of CVie prior to the Merger. The Merger closed on December 21, 2018. China Cardiovascular Focus Limited ("CCF"), a wholly-owned subsidiary of Lee's Pharmaceutical International Limited, which is a wholly-owned subsidiary of the Reporting Person, as a 49.58% owner of CVie prior to the Merger, received 8,063,861 shares of Common Stock. CCF is deemed to beneficially own 8,063,861 shares of Common Stock.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 1

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 12,794,970

F1 · balance_after: On December 22, 2017, the Issuer effected a 1-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 6

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,755

Underlying: Common Stock · 66,900 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.

F5 · derivative.expiration_date: Pursuant to the Certificate of Designation of Preferences, Rights and Limitations of the Series A Convertible Preferred Stock, if the closing price of the Common Stock, as listed or quoted on its principal market, is equal to or greater than $4.11 for at least 20 consecutive trading days on or after the first anniversary of the original issue date of the Preferred Stock, then the Issuer, at its option, may cause the Preferred Stock to be converted in whole, or in part, on a pro rata basis among the holders of the Preferred Stock, into shares of Common Stock subject to a beneficial ownership limitation of 9.99%.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 3

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,920,171

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 · balance_after: On December 22, 2017, the Issuer effected a 1-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F4 · balance_after: Pursuant to an Exchange Agreement dated September 12, 2018, entered into by and between the Reporting Person and the Issuer, the Reporting Person agreed to exchange 1,338 Shares of Series A Convertible Preferred Stock for 66,900 shares of Common Stock. The actual exchange took place on November 8, 2018. As a result of the foregoing exchange, the Reporting Person beneficially owns 66,900 shares of Common Stock directly.

SEC source: 0001213900-18-004124 · f4040418lees_windtree.xml · derivative · entry 2

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 135,417

Underlying: Common Stock · 135,417 shares

Expires 2025-04-04

F2 · security: The shares of Common Stock issuable upon exercise of the Warrants are initially subject to a beneficial ownership limitation (the "Beneficial Ownership Limitation") of 9.99%. Upon notice to the Issuer, LPH II may decrease or thereafter increase the Beneficial Ownership Limitation applicable to the Warrants. Any such change in the Beneficial Ownership Limitation will not be effective until the 61st day after such notice is delivered to the Issuer. Because LPH II's beneficial ownership of Common Stock (without giving effect to the exercise of the Warrants into Common Stock) has exceeded the current Beneficial Ownership Limitation of 9.99%, the Warrants beneficially owned by LPH II are not currently exercisable without amending the Beneficial Ownership Limitation.

F1 · ownership.nature: Pursuant to a Securities Purchase Agreement dated March 30, 2018, LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, acquired 541,667 shares of common stock of the Issuer ("Common Stock") and 135,417 Series C Warrants to purchase Common Stock of the Issuer ("Warrants") for an aggregate purchase price of $2,600,000, as reported in Table I and II of this Form 4 respectively. As a result of the foregoing purchase, LPH II beneficially owns (i) 541,667 shares of Common Stock and (ii) 135,417 shares of Common Stock issuable upon exercise of the Warrants.

SEC source: 0001213900-18-004124 · f4040418lees_windtree.xml · nonDerivative · entry 1

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,853,271

F1 · ownership.nature: Pursuant to a Securities Purchase Agreement dated March 30, 2018, LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, acquired 541,667 shares of common stock of the Issuer ("Common Stock") and 135,417 Series C Warrants to purchase Common Stock of the Issuer ("Warrants") for an aggregate purchase price of $2,600,000, as reported in Table I and II of this Form 4 respectively. As a result of the foregoing purchase, LPH II beneficially owns (i) 541,667 shares of Common Stock and (ii) 135,417 shares of Common Stock issuable upon exercise of the Warrants.