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 |
|---|---|---|---|---|---|---|
| December 28, 2018 Filed Jan 2, 2019 22:10 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 15,553 | $5.00 | $77,765.00 |
DisclosureSEC source: 0001437749-19-000096 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,982 Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:12 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 1,265,717 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022672 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,265,717 Underlying: Common Stock · 1,265,717 shares Expires 2028-12-24 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 02:48 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionSeries A Convertible Preferred Stock · Derivative | 7 | Not disclosed Strike: $27.40 | Not disclosed |
DisclosureSEC source: 0001437749-18-021250 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 350 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 02:48 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionCommon Stock | 350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-021250 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,535 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 |
| November 01, 2017 Filed Nov 3, 2017 13:29 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 1,976,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-018209 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,983,690 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:16 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantIncentive Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001437749-17-003777 · 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 2027-03-01 F1 · 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 |
| February 13, 2017 Filed Feb 15, 2017 22:09 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A-1 Warrants (Right to Buy) · Derivative | 7,000 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002590 · rdgdoc.xml · derivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 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 22:09 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A Convertible Preferred Stock · Derivative | 7 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002590 · rdgdoc.xml · derivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7 Underlying: Common Stock · 7,000 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 |
| October 28, 2016 Filed Nov 1, 2016 12:27 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 7,500 | $2.05 | $15,381.00 |
DisclosureSEC source: 0001437749-16-040698 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 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.