Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director · President and CEO | October 08, 2024 | October 09, 2024 |
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 October 08, 2024 · Filed October 09, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,638 |
Reported balance
After 2024-10-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-10-08 · Purchase · Acquired 5,431 · Balance 8,638 F1: Adjusted to reflect 1-for-18 reverse stock split effective April 19, 2024. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 1 |
Reported balance
Holding disclosure · report date 2024-10-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1 F1: Adjusted to reflect 1-for-18 reverse stock split effective April 19, 2024. F2: Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Adjusted to reflect 1-for-18 reverse stock split effective April 19, 2024.
F2: Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan.
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 |
|---|---|---|---|---|---|---|
| October 08, 2024 Filed Oct 9, 2024 11:46 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 5,431 | $0.91 | $4,941.67 |
DisclosureSEC source: 0001437749-24-030918 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,638 F1 · balance_after: Adjusted to reflect 1-for-18 reverse stock split effective April 19, 2024. Read SEC document |
| July 22, 2024 Filed Jul 24, 2024 21:27 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantWarrants (Right to Buy) · Derivative | 4,011 | Not disclosed Strike: $4.11 | Not disclosed |
DisclosureSEC source: 0001437749-24-023367 · rdgdoc.xml · derivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,011 Underlying: Common Stock · 4,011 shares Expires not disclosed F2 · price: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 shares of the Issuer's common stock, $0.001 par value per share ("Warrants"). The Warrants have an exercise price of $4.11 per share, subject to customary adjustments, and will become exercisable on the six month and one day anniversary of the issuance date (the "Initial Exercisability Date"), and expire on the fifth (5th) anniversary of the Initial Exercisability Date. F2 · derivative.exercise_date: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 shares of the Issuer's common stock, $0.001 par value per share ("Warrants"). The Warrants have an exercise price of $4.11 per share, subject to customary adjustments, and will become exercisable on the six month and one day anniversary of the issuance date (the "Initial Exercisability Date"), and expire on the fifth (5th) anniversary of the Initial Exercisability Date. F2 · derivative.expiration_date: Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 shares of the Issuer's common stock, $0.001 par value per share ("Warrants"). The Warrants have an exercise price of $4.11 per share, subject to customary adjustments, and will become exercisable on the six month and one day anniversary of the issuance date (the "Initial Exercisability Date"), and expire on the fifth (5th) anniversary of the Initial Exercisability Date. Read SEC document |
| July 22, 2024 Filed Jul 24, 2024 21:27 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantSeries C Preferred Stock · Derivative | 19 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-24-023367 · rdgdoc.xml · derivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19 Underlying: Common Stock · 5,073 shares Expires not disclosed F1 · derivative.exercise_price: On July 22, 2024, the Reporting Person acquired 19 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date. F1 · price: On July 22, 2024, the Reporting Person acquired 19 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date. F1 · derivative.exercise_date: On July 22, 2024, the Reporting Person acquired 19 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date. F1 · derivative.expiration_date: On July 22, 2024, the Reporting Person acquired 19 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date. Read SEC document |
| September 27, 2023 Filed Sep 28, 2023 11:24 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,500 | $1.02 | $2,549.75 |
DisclosureSEC source: 0001437749-23-026969 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,877 Read SEC document |
| September 26, 2023 Filed Sep 27, 2023 11:34 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,500 | $0.90 | $2,250.00 |
DisclosureSEC source: 0001437749-23-026828 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,377 Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 21:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 68,800 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001437749-23-024710 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,800 Underlying: Common Stock · 68,800 shares Expires 2033-08-23 F3 · 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 21:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 45,867 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-024710 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,877 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 |
| April 26, 2023 Filed Apr 27, 2023 11:41 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,497 | $1.77 | $2,649.69 |
DisclosureSEC source: 0001437749-23-011245 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,010 Read SEC document |
| April 25, 2023 Filed Apr 26, 2023 11:21 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,315 | $1.89 | $2,485.35 |
DisclosureSEC source: 0001437749-23-011064 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,513 Read SEC document |
| February 28, 2023 Filed Mar 3, 2023 01:27 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 334 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-005268 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,198 F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023. Read SEC document |
| July 27, 2022 Filed Jul 27, 2022 20:20 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,500 | $0.38 | $949.75 |
DisclosureSEC source: 0001437749-22-017890 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,558 Read SEC document |
| July 26, 2022 Filed Jul 26, 2022 20:37 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,500 | $0.37 | $935.00 |
DisclosureSEC source: 0001437749-22-017791 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,058 Read SEC document |
| June 30, 2022 Filed Jul 5, 2022 20:40 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 4,500 | $0.43 | $1,925.55 |
DisclosureSEC source: 0001437749-22-016607 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,558 Read SEC document |
| June 29, 2022 Filed Jun 30, 2022 10:59 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 7,000 | $0.42 | $2,907.80 |
DisclosureSEC source: 0001437749-22-016227 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,058 F1 · price: The shares were purchased in multiple trades at prices ranging from $0.4115 to $0.4200. 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 |
| March 16, 2022 Filed Mar 17, 2022 21:33 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,000 | $0.98 | $1,959.80 |
DisclosureSEC source: 0001437749-22-006612 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,058 Read SEC document |
| March 15, 2022 Filed Mar 15, 2022 20:45 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 3,000 | $0.98 | $2,940.30 |
DisclosureSEC source: 0001437749-22-006313 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,058 Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:51 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 250,400 | $0.00 Strike: $1.02 | $0.00 |
DisclosureSEC source: 0001437749-22-005417 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,400 Underlying: Common Stock · 250,400 shares Expires 2032-03-04 F3 · 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 22:51 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 166,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005417 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,058 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 |
| November 19, 2021 Filed Nov 22, 2021 13:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 930 | $1.60 | $1,488.00 |
DisclosureSEC source: 0001437749-21-027198 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,158 Read SEC document |
| November 18, 2021 Filed Nov 18, 2021 21:25 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 930 | $1.61 | $1,497.30 |
DisclosureSEC source: 0001437749-21-027085 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,228 Read SEC document |
| October 22, 2021 Filed Oct 25, 2021 13:17 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 3,000 | $1.90 | $5,700.00 |
DisclosureSEC source: 0001437749-21-024196 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,298 Read SEC document |
| October 19, 2021 Filed Oct 19, 2021 20:51 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 3,000 | $1.91 | $5,730.00 |
DisclosureSEC source: 0001437749-21-023910 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,298 Read SEC document |
| April 16, 2021 Filed Apr 20, 2021 11:44 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $2.09 | $2,092.00 |
DisclosureSEC source: 0001437749-21-009306 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,298 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.09 to $2.0933. 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 |
| April 15, 2021 Filed Apr 19, 2021 11:47 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $2.24 | $2,239.90 |
DisclosureSEC source: 0001437749-21-009186 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,298 Read SEC document |
| April 06, 2021 Filed Apr 7, 2021 20:18 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $2.57 | $1,285.00 |
DisclosureSEC source: 0001437749-21-008459 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,298 Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 20:28 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $2.58 | $2,579.90 |
DisclosureSEC source: 0001437749-21-008400 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,798 Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 12:06 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $2.46 | $1,229.35 |
DisclosureSEC source: 0001437749-21-008159 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,798 Read SEC document |
| March 31, 2021 Filed Mar 31, 2021 20:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $2.32 | $1,159.95 |
DisclosureSEC source: 0001437749-21-007852 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,298 Read SEC document |
| March 25, 2021 Filed Mar 25, 2021 20:43 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 1,500 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001437749-21-007171 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 1,500 shares Expires 2026-03-25 F2 · price: Issued in connection with the purchase of shares of common stock on March 25, 2021 as reported above. Read SEC document |
| March 25, 2021 Filed Mar 25, 2021 20:43 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,500 | $3.25 | $4,875.00 |
DisclosureSEC source: 0001437749-21-007171 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,798 Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 21:34 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 143,250 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001282 · rdgdoc.xml · derivative · entry 4 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,250 Underlying: Common Stock · 143,250 shares Expires 2031-01-22 F3 · 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 |
| January 22, 2021 Filed Jan 26, 2021 21:34 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 143,250 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001282 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,250 Underlying: Common Stock · 143,250 shares Expires 2031-01-22 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments on the grant date and the first and second anniversaries of the grant date. Read SEC document |
| October 28, 2020 Filed Oct 29, 2020 10:08 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 250 | $6.56 | $1,639.88 |
DisclosureSEC source: 0001437749-20-021886 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,298 Read SEC document |
| October 09, 2020 Filed Oct 13, 2020 12:40 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 250 | $5.83 | $1,456.25 |
DisclosureSEC source: 0001437749-20-021048 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,048 Read SEC document |
| October 07, 2020 Filed Oct 9, 2020 12:05 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 250 | $5.17 | $1,292.50 |
DisclosureSEC source: 0001437749-20-020956 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,798 Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:44 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011874 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F3 · 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 01:44 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011874 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,548 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| February 11, 2020 Filed Feb 12, 2020 21:07 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 250 | $4.10 | $1,025.00 |
DisclosureSEC source: 0001437749-20-002448 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,590 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:07 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 250 | $4.10 | $1,025.00 |
DisclosureSEC source: 0001437749-20-002448 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,340 Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 21:14 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $4.24 | $2,120.00 |
DisclosureSEC source: 0001437749-20-001792 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,090 Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:14 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 100 | $4.20 | $420.00 |
DisclosureSEC source: 0001437749-20-001792 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,590 Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:34 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005428 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-03-19 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 |
| March 15, 2019 Filed Mar 19, 2019 22:04 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 20,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005304 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,490 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:28 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 18,023 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011862 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,337 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 16,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,131 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 98,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,535 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerCommon Stock | 83,257 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 18,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,360 Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 98,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,535 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerCommon Stock | 83,257 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. 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.