0001213900-18-017868.txt : 20181226
0001213900-18-017868.hdr.sgml : 20181226
20181226162619
ACCESSION NUMBER: 0001213900-18-017868
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181221
FILED AS OF DATE: 20181226
DATE AS OF CHANGE: 20181226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lee's Pharmaceutical International Ltd
CENTRAL INDEX KEY: 0001761056
STATE OF INCORPORATION: D8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26422
FILM NUMBER: 181252892
BUSINESS ADDRESS:
STREET 1: 1/F, BUILDING 20E, PHASE 3
STREET 2: HONG KONG SCIENCE PARK
CITY: SHATIN
STATE: K3
ZIP: 000000
BUSINESS PHONE: 852 2314 1282
MAIL ADDRESS:
STREET 1: 1/F, BUILDING 20E, PHASE 3
STREET 2: HONG KONG SCIENCE PARK
CITY: SHATIN
STATE: K3
ZIP: 000000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: China Cardiovascular Focus Ltd
CENTRAL INDEX KEY: 0001761072
STATE OF INCORPORATION: D8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26422
FILM NUMBER: 181252893
BUSINESS ADDRESS:
STREET 1: 1/F, BUILDING 20E, PHASE 3
STREET 2: HONG KONG SCIENCE PARK
CITY: SHATIN
STATE: K3
ZIP: 0000000
BUSINESS PHONE: 852 2314 1282
MAIL ADDRESS:
STREET 1: 1/F, BUILDING 20E, PHASE 3
STREET 2: HONG KONG SCIENCE PARK
CITY: SHATIN
STATE: K3
ZIP: 0000000
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
3
1
ownership.xml
X0206
3
2018-12-21
0
0000946486
WINDTREE THERAPEUTICS INC /DE/
WINT
0001761072
China Cardiovascular Focus Ltd
1/F, BUILDING 20E, PHASE 3,
HONG KONG SCIENCE PARK
SHATIN
K3
000000
HONG KONG
0
0
1
0
0001761056
Lee's Pharmaceutical International Ltd
1/F, BUILDING 20E, PHASE 3,
HONG KONG SCIENCE PARK, SHATIN
SHATIN
K3
000000
HONG KONG
0
0
1
0
Common Stock
8063861
D
Pursuant to an Agreement and Plan of Merger dated as of December 21st, 2018 (the "Merger Agreement") entered into by and among the Issuer, WT Acquisition Corp. ("Merger Sub"), a wholly-owned subsidiary of the Issuer, and CVie Investments Limited (the "Merger Parties"), Merger Sub merged with and into CVie, with CVie becoming the sole surviving entity as a wholly owned subsidiary of the Issuer (the "Merger"). Under the terms of the Merger Agreement, the Issuer issued Common Stock to CVie's former shareholders, at an exchange ratio of 0.3512 share of Common Stock for each share of CVie outstanding shares prior to the Merger, resulting in the issuance of 16,265,060 shares of Common Stock in exchange for the shares of CVie. The Merger closed on December 21, 2018. China Cardiovascular Focus Limited ("CCF"), as a 49.58% owner of CVie prior to the Merger, received 8,063,861 shares of Common Stock in connection with the Merger. CCF beneficially owns 8,063,861 shares of Common Stock.
The shares are directly held by CCF and indirectly held by Lee's Pharmaceutical International Limited, which wholly owns CCF.
/s/ Ms. Lee Siu Fong
2018-12-26
/s/ Ms. Lee Siu Fong
2018-12-26