0001437749-20-000169.txt : 20200103 0001437749-20-000169.hdr.sgml : 20200103 20200103164148 ACCESSION NUMBER: 0001437749-20-000169 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huang James CENTRAL INDEX KEY: 0001573160 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26422 FILM NUMBER: 20506207 MAIL ADDRESS: STREET 1: 9620 MEDICAL CENTER DRIVE STREET 2: SUITE 300 CITY: ROCKVILLE STATE: MD ZIP: 20850 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 2019-12-31 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001573160 Huang James C/O WINDTREE THERAPEUTICS, INC. 2600 KELLY ROAD, SUITE 100 WARRINGTON PA 18976 1 1 Common Stock 2019-12-31 4 P 0 15442 4.049 A 20442 D Common Stock 6182974 I Via Panacea Venture Healthcare Fund I L.P. Common Stock 210844 I Via Rui Jin (HK) Consulting Management Company Limited The shares were purchased in multiple trades at prices ranging from $3.81 to $4.99. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited. /s/ Mary B. Templeton, Esq., as Attorney-in-Fact 2020-01-03