SEC Form 3: New insider Mcandrew Jamie claimed ownership of 10,234 shares
$WINT
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
| 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 |
|
|||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 08/24/2023 |
3. Issuer Name and Ticker or Trading Symbol
WINDTREE THERAPEUTICS INC /DE/ [ WINT ] |
|||||||||||||
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| 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 | 10,233 | D | |
| Common Stock | 1 | I | By Trust(1) |
|
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 | ||||
| Employee Stock Option (Right to Buy) | (2) | 02/02/2026 | Common Stock | 1 | 6,990 | D | |
| Employee Stock Option (Right to Buy) | (2) | 07/28/2026 | Common Stock | 2 | 5,310 | D | |
| Employee Stock Option (Right to Buy) | (2) | 03/01/2027 | Common Stock | 5 | 3,690 | D | |
| Employee Stock Option (Right to Buy) | (2) | 02/07/2029 | Common Stock | 200 | 592.5 | D | |
| Employee Stock Option (Right to Buy) | (2) | 01/22/2031 | Common Stock | 400 | 272 | D | |
| Employee Stock Option (Right to Buy) | (3) | 01/22/2031 | Common Stock | 220 | 272 | D | |
| Employee Stock Option (Right to Buy) | (4) | 03/04/2032 | Common Stock | 372 | 51 | D | |
| Employee Stock Option (Right to Buy) | (5) | 08/23/2033 | Common Stock | 15,000 | 1.21 | D | |
| Explanation of Responses: |
| 1. Holding amount represents issuer's matching stock contribution pursuant to 401(k) plan. |
| 2. The shares subject to this option are fully vested and exercisable. |
| 3. 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 January 22, 2022 provided that the reporting person remains in continuous service on each vesting date. |
| 4. This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the option on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date. |
| 5. 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. |
| Remarks: |
| Exhibit List - Exhibit 24 - Power of Attorney |
| /s/ Jamie McAndrew | 09/05/2023 | |
| ** 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. | ||