0001213900-22-001391.txt : 20220110
0001213900-22-001391.hdr.sgml : 20220110
20220110170357
ACCESSION NUMBER: 0001213900-22-001391
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200520
FILED AS OF DATE: 20220110
DATE AS OF CHANGE: 20220110
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Center Laboratories, Inc.
CENTRAL INDEX KEY: 0001770423
STATE OF INCORPORATION: F5
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39290
FILM NUMBER: 22521897
BUSINESS ADDRESS:
STREET 1: 7 ., NO. 3-2, PARK ST. NANGANG DIST.
CITY: TAIPEI
STATE: F5
ZIP: 11503
BUSINESS PHONE: 886 2 2655 8680
MAIL ADDRESS:
STREET 1: 7 ., NO. 3-2, PARK ST. NANGANG DIST.
CITY: TAIPEI
STATE: F5
ZIP: 11503
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
1
ownership.xml
X0306
4
2020-05-20
1
0000946486
WINDTREE THERAPEUTICS INC /DE/
WINT
0001770423
Center Laboratories, Inc.
7TH FL., NO.3-2, PARK ST.,
NANGANG DIST.
TAIPEI CITY
F5
11503
TAIWAN
0
0
1
0
Common Stock
2020-05-20
5
J
0
E
3551750
0
D
1183916
I
By Bioengine Capital Inc.
Common Stock
2020-05-20
4
P
0
55172
7.25
A
1239088
I
By Bioengine Capital Inc.
Common Stock
2021-12-30
4
P
0
1239088
1.6
A
1239088
D
SERIES F WARRANTS
3.68
2020-06-24
5
J
0
E
0
0
D
2018-12-24
2020-06-24
Common Stock
384824
0
I
By Bioengine Capital Inc.
SERIES G WARRANTS
12.15
2020-05-20
5
J
0
E
249004
0
D
2018-12-24
2023-12-24
Common Stock
249004
249004
I
By Bioengine Capital Inc.
SERIES J WARRANTS
7.795
2020-05-20
4
P
0
55172
0
A
2022-05-22
2025-05-22
Common Stock
55172
55172
I
By Bioengine Capital Inc.
The Reporting Person voluntarily discloses that, on May 20, 2020, the Issuer effected a 1-for-3 reverse stock split of its Common Stock (the "Reverse Stock Split"), which resulted in the Reporting Person's beneficial ownership of issued and outstanding Common Stock being reduced from 3,551,750 shares of Common Stock to 1,183,916 shares of Common Stock. The shares of Common Stock are directly held by Bioengine Capital Inc., and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
The shares of Common Stock are directly held by Bioengine Capital Inc, and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
On December 30, 2021, the Reporting Person purchased all remaining shares of Common Stock held by Bioengine Capital Inc., and now holds the shares directly.
The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants.
The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's beneficial ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants.
The Series G and Series J Warrants are directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc.
The exercise of the Series G Warrants is subject to a beneficial ownership limitation of 9.99%, and this limitation can only be changed with effect from the 61st day after a notice requesting such change is delivered to the Issuer.
This filing constitutes a Form 4 exit filing for the Reporting Person, as the Reporting Person is no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended, as a result of the transactions reported herein.
/s/ Lin, Jung-Chin
2022-01-10