SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Huang James

(Last) (First) (Middle)
C/O WINDTREE THERAPEUTICS, INC.
2600 KELLY ROAD, SUITE 100

(Street)
WARRINGTON PA 18976

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/21/2018
3. Issuer Name and Ticker or Trading Symbol
WINDTREE THERAPEUTICS INC /DE/ [ WINT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 4,527,345 I Via Panacea Venture Healthcare Fund I L.P.(1)
Common Stock 114,415 I Via Rui Jin (HK) Consulting Management Company Limited
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series F Warrants 12/24/2018 06/24/2020 Common Stock 769,649 3.68 I Via Held by Panacea Venture Healthcare Fund I L.P.(1)
Series G Warrants 12/24/2018 12/24/2023 Common Stock 1,494,024 4.05 I Via Held by Panacea Venture Healthcare Fund I L.P.(1)
Series D Warrants 01/02/2019 07/02/2023 Common Stock 187,500 4 I Via Held by Panacea Venture Healthcare Fund I L.P.(1)
Explanation of Responses:
1. The Reporting Person is Director of Panacea Venture Healthcare Fund I L.P. The Reporting Person disclaims beneficial ownership of the shares held by the fund, except to the extent of his pecuniary interest therein.
/s/ Mary B. Templeton, Esq., as Attorney-in-Fact 12/31/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.