0001437749-21-016434.txt : 20210706 0001437749-21-016434.hdr.sgml : 20210706 20210706160526 ACCESSION NUMBER: 0001437749-21-016434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210706 DATE AS OF CHANGE: 20210706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARMAN DIANE CENTRAL INDEX KEY: 0001871113 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39290 FILM NUMBER: 211074091 MAIL ADDRESS: STREET 1: 2600 KELLY ROAD STREET 2: 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 X0306 4 2021-07-01 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001871113 CARMAN DIANE 2600 KELLY ROAD SUITE 100 WARRINGTON PA 18976 1 SVP & General Counsel Stock Option (Right to Buy) 2.27 2021-07-01 4 A 0 150000 0 A 2022-07-01 2031-07-01 Common Stock 150000 150000 D The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4). /s/ Diane Carman, Esq. 2021-07-06