0001213900-18-004475.txt : 20180413 0001213900-18-004475.hdr.sgml : 20180413 20180413183355 ACCESSION NUMBER: 0001213900-18-004475 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180404 FILED AS OF DATE: 20180413 DATE AS OF CHANGE: 20180413 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26422 FILM NUMBER: 18755232 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 3 1 f3040418lph2_windtreetherap.xml OWNERSHIP DOCUMENT X0206 3 2018-04-04 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 541667 D Series C Warrant 5.52 2018-10-04 2025-04-04 Common Stock 135417 D Pursuant to a Securities Purchase Agreement dated March 30, 2018, LPH II Investments Limited, a company incorporated in the Cayman Islands with limited liability, acquired 541,667 shares of common stock of the Issuer ("Common Stock") and 135,417 Series C Warrant of the Issuer ("Warrant") for an aggregate consideration of $2,600,000, as reported in Table I and II of this Form 3. /s/ Lee Siu Fong 2018-04-06