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