0001213900-18-017870.txt : 20181226 0001213900-18-017870.hdr.sgml : 20181226 20181226162842 ACCESSION NUMBER: 0001213900-18-017870 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181221 FILED AS OF DATE: 20181226 DATE AS OF CHANGE: 20181226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LPH II Investments Ltd CENTRAL INDEX KEY: 0001737494 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-26422 FILM NUMBER: 181252903 BUSINESS ADDRESS: STREET 1: UNIT 110-111, BIO-INFORMATICS CNTR, NO 2 STREET 2: SCIENCE PARK WEST AVENUE, HONG KONG CITY: SCIENCE PARK, SHATIN STATE: K3 ZIP: 00000 BUSINESS PHONE: 852 2314 1282 MAIL ADDRESS: STREET 1: UNIT 110-111, BIO-INFORMATICS CNTR, NO 2 STREET 2: SCIENCE PARK WEST AVENUE, HONG KONG CITY: SCIENCE PARK, SHATIN STATE: K3 ZIP: 00000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WINDTREE THERAPEUTICS INC /DE/ CENTRAL INDEX KEY: 0000946486 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943171943 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2600 KELLY ROAD STREET 2: SUITE 100 CITY: WARRINGTON STATE: PA ZIP: 18976 BUSINESS PHONE: 2154889300 MAIL ADDRESS: STREET 1: 2600 KELLY ROAD STREET 2: SUITE 100 CITY: WARRINGTON STATE: PA ZIP: 18976 FORMER COMPANY: FORMER CONFORMED NAME: DISCOVERY LABORATORIES INC /DE/ DATE OF NAME CHANGE: 19971201 FORMER COMPANY: FORMER CONFORMED NAME: ANSAN PHARMACEUTICALS INC DATE OF NAME CHANGE: 19961121 FORMER COMPANY: FORMER CONFORMED NAME: ANSAN INC DATE OF NAME CHANGE: 19950609 4/A 1 ownership.xml X0306 4/A 2018-12-21 2018-04-06 0 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001737494 LPH II Investments Ltd UNIT 110-111, BIO-INFO CTR, #2 SCIENCE PARK AVE HONG KONG SCIENCE PARK SHATIN K3 HONG KONG 0 0 1 0 Common Stock 2018-12-21 4 P 0 1810938 3.31 A 2352605 D Series F Warrants 3.68 2018-12-21 4 P 0 307859 0 A 2018-12-24 2020-05-24 Common Stock 307859 1040886 D Series G Warrants 4.05 2018-12-21 4 P 0 597610 0 A 2018-12-24 2023-12-24 Common Stock 597610 1040886 D 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. 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. /s/ Ms. Lee Siu Fong 2018-12-26