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