0001437749-23-024713.txt : 20230825 0001437749-23-024713.hdr.sgml : 20230825 20230825180101 ACCESSION NUMBER: 0001437749-23-024713 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230823 FILED AS OF DATE: 20230825 DATE AS OF CHANGE: 20230825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simonson Steven CENTRAL INDEX KEY: 0001624401 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39290 FILM NUMBER: 231209558 MAIL ADDRESS: STREET 1: 2600 KELLY ROAD, SUITE 100 CITY: WARRINGTON STATE: PA ZIP: 18976 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 X0508 4 2023-08-23 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001624401 Simonson Steven 2600 KELLY ROAD SUITE 100 WARRINGTON PA 18976 1 SVP, Chief Medical Officer 0 Common Stock 2023-08-23 4 A 0 15867 0 A 17440 D Common Stock 6 I By Trust Employee Stock Option (Right to Buy) 1.21 2023-08-23 4 A 0 23800 0 A 2033-08-23 Common Stock 23800 23800 D These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on August 23, 2024 provided that the reporting person remains in continuous service on each vesting date. Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan. This employee stock option shall vest and become exercisable with respect to one-third of the total number of shares subject to the option on an annual basis (every 12 months) with the first vest date on August 23, 2024 provided that the reporting person remains in continuous service on each vesting date. /s/ Jamie McAndrew, as Attorney-in-Fact 2023-08-25