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