Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | SVP, Chief Medical Officer | July 22, 2024 | July 24, 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 July 22, 2024 · Filed July 24, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 13 |
Reported balance
After 2024-07-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-07-22 · Grant · Acquired 13 · Balance 13 F1: On July 22, 2024, the Reporting Person acquired 13 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. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.11 | Direct | 2,674 |
Reported balance
After 2024-07-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-07-22 · Grant · Acquired 2,674 · Balance 2,674 F2: Pursuant to the Purchase Agreement, the Reporting Person acquired 2,674 warrants to purchase 2,674 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 22, 2024, the Reporting Person acquired 13 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.
F2: Pursuant to the Purchase Agreement, the Reporting Person acquired 2,674 warrants to purchase 2,674 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.
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 |
|---|---|---|---|---|---|---|
| July 22, 2024 Filed Jul 24, 2024 21:28 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantWarrants (Right to Buy) · Derivative | 2,674 | Not disclosed Strike: $4.11 | Not disclosed |
DisclosureSEC source: 0001437749-24-023368 · rdgdoc.xml · derivative · entry 2 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,674 Underlying: Common Stock · 2,674 shares Expires not disclosed F2 · price: Pursuant to the Purchase Agreement, the Reporting Person acquired 2,674 warrants to purchase 2,674 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 2,674 warrants to purchase 2,674 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 2,674 warrants to purchase 2,674 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 21:28 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantSeries C Preferred Stock · Derivative | 13 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-24-023368 · rdgdoc.xml · derivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13 Underlying: Common Stock · 3,471 shares Expires not disclosed F1 · derivative.exercise_price: On July 22, 2024, the Reporting Person acquired 13 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 13 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 13 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 13 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 |
| August 23, 2023 Filed Aug 25, 2023 22:01 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 23,800 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001437749-23-024713 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,800 Underlying: Common Stock · 23,800 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 22:01 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 15,867 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-024713 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,440 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 |
| February 28, 2023 Filed Mar 3, 2023 01:28 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-005270 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,573 F1 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023. Read SEC document |
| March 15, 2022 Filed Mar 15, 2022 20:48 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 5,000 | $1.00 | $4,999.00 |
DisclosureSEC source: 0001437749-22-006317 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,602 Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:53 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 99,600 | $0.00 Strike: $1.02 | $0.00 |
DisclosureSEC source: 0001437749-22-005424 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,600 Underlying: Common Stock · 99,600 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 22:53 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 66,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005424 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,602 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 |
| March 25, 2021 Filed Mar 25, 2021 20:45 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 1,500 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001437749-21-007173 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 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 20:45 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,500 | $3.25 | $4,875.00 |
DisclosureSEC source: 0001437749-21-007173 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,302 Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 21:39 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001286 · rdgdoc.xml · derivative · entry 4 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 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 21:39 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 52,600 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001286 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,600 Underlying: Common Stock · 52,600 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 |
| May 22, 2020 Filed May 28, 2020 01:54 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 517 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011877 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517 Underlying: Common Stock · 517 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 01:54 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 517 | $7.25 | $3,748.25 |
DisclosureSEC source: 0001437749-20-011877 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,802 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005429 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 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 22:06 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 9,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005305 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,011 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:30 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 8,979 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011863 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,856 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 23,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002271 · rdgdoc.xml · nonDerivative · entry 2 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,835 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerCommon Stock | 23,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002271 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,321 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:13 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 7,402 | $5.00 | $37,010.00 |
DisclosureSEC source: 0001437749-19-000098 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,835 Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:17 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 738,335 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022675 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,335 Underlying: Common Stock · 738,335 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 | 3 | Not disclosed Strike: $27.40 | Not disclosed |
DisclosureSEC source: 0001437749-18-021251 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 150 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 | 150 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-021251 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,237 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 13:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 940,564 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-018210 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 941,756 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 21:18 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 18,334 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001437749-17-003779 · rdgdoc.xml · derivative · entry 4 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,334 Underlying: Common Stock · 18,334 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 |
| March 01, 2017 Filed Mar 3, 2017 21:18 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantIncentive Stock Option (Right to Buy) · Derivative | 36,666 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001437749-17-003779 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,666 Underlying: Common Stock · 36,666 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 22:10 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A-1 Warrants (Right to Buy) · Derivative | 3,000 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002591 · rdgdoc.xml · derivative · entry 2 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 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 22:10 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A Convertible Preferred Stock · Derivative | 3 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002591 · rdgdoc.xml · derivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3 Underlying: Common Stock · 3,000 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.