organization · Reporting owner
LPH II Investments Ltd
Disclosed activity across 1 company
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Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | 10% owner | December 06, 2019 | December 11, 2019 |
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 December 06, 2019 · Filed December 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,008,234 |
Reported balance
After 2019-12-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-12-06 · Purchase · Acquired 1,655,629 · Balance 4,008,234 F1: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby 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 the Reporting Person 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. |
| Series I WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $4.03 · Expires 2024-12-05 | Direct | 827,815 |
Reported balance
After 2019-12-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-12-06 · Purchase · Acquired 827,815 · Balance 827,815 F1: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby 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 the Reporting Person 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby 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 the Reporting Person 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.
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 |
|---|---|---|---|---|---|---|
| December 06, 2019 Filed Dec 11, 2019 00:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries I Warrants · Derivative | 827,815 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001213900-19-025802 · ownership.xml · derivative · entry 2 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct 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 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 the Reporting Person 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. Read SEC document |
| December 06, 2019 Filed Dec 11, 2019 00:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,655,629 | $3.02 | $4,999,999.58 |
DisclosureSEC source: 0001213900-19-025802 · ownership.xml · nonDerivative · entry 1 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,008,234 F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby 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 the Reporting Person 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. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 21:28 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries G Warrants · Derivative | 597,610 | $0.00 Strike: $4.05 | $0.00 |
DisclosureSEC source: 0001213900-18-017870 · ownership.xml · derivative · entry 3 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,040,886 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. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 21:28 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries F Warrants · Derivative | 307,859 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001213900-18-017870 · ownership.xml · derivative · entry 2 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,040,886 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. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 21:28 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,810,938 | $3.31 | $5,994,204.78 |
DisclosureSEC source: 0001213900-18-017870 · ownership.xml · nonDerivative · entry 1 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,352,605 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. 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.