0001437749-18-022668.txt : 20181227 0001437749-18-022668.hdr.sgml : 20181227 20181227183028 ACCESSION NUMBER: 0001437749-18-022668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181224 FILED AS OF DATE: 20181227 DATE AS OF CHANGE: 20181227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEACOCK BRUCE CENTRAL INDEX KEY: 0001228459 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26422 FILM NUMBER: 181255603 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 2018-12-24 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001228459 PEACOCK BRUCE 2600 KELLY ROAD SUITE 100 WARRINGTON PA 18976 1 Common Stock 2018-12-24 4 A 0 15000 0 A 16160 D Stock Option (Right to Buy) 4.22 2018-12-24 4 A 0 32000 0 A 2019-12-24 2028-12-24 Common Stock 32000 32000 D Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. /s/ Mary B. Templeton, Esq., as Attorney-in-Fact 2018-12-27