0001437749-18-021247.txt : 20181123 0001437749-18-021247.hdr.sgml : 20181123 20181123214614 ACCESSION NUMBER: 0001437749-18-021247 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181121 FILED AS OF DATE: 20181123 DATE AS OF CHANGE: 20181123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leone John R CENTRAL INDEX KEY: 0001301047 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26422 FILM NUMBER: 181199895 MAIL ADDRESS: STREET 1: ONE MEADOWLANDS PLAZA CITY: EAST RUTHERFORD STATE: NJ ZIP: 07073 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 rdgdoc.xml FORM 4 X0306 4 2018-11-21 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001301047 Leone John R 2600 KELLY ROAD SUITE 100 WARRINGTON PA 18976 1 Common Stock 2018-11-21 4 C 0 650 A 1212 D Series A Convertible Preferred Stock 27.40 2018-11-21 4 C 0 13 D Common Stock 650 0 D Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants. Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. Series A Convertible Preferred Stock was immediately convertible and had no expiration date. /s/ John R. Leone 2018-11-23