PANACEA VENTURE HEALTHCARE FUND I, L.P. enters WINDTREE THERAPEUTICS INC /DE/ with 4.53M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Derivatives
Filed: 12/31/2018ACC: 0001437749-18-022823
→
10% Owner
Since Dec 2018
4.53M
Baseline shares
100% direct
4.53M
Direct ownership
1 position
2.45M
Derivative underlying
3 instruments
1
Security positions
All direct
Non-Derivative Holdings1
Common Stock
DirectShares owned4.53M
Total
4.53M direct4.53M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 4.53M | Direct |
| Total | 4.53M | 4.53M direct |
Derivative Holdings3
Series F Warrants
DirectUnderlying security
Common Stock
Underlying shares
769.65K
Shares owned
N/A
Exercise price
3.6800
Expiration
—
Exercise window
—
Series G Warrants
DirectUnderlying security
Common Stock
Underlying shares
1.49M
Shares owned
N/A
Exercise price
4.0500
Expiration
—
Exercise window
—
Series D Warrants
IndirectUnderlying security
Common Stock
Underlying shares
187.50K
Shares owned
N/A
Exercise price
4.0000
Expiration
—
Exercise window
—
Total
Underlying
2.45M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Series F Warrants Direct | Common Stock | 3.6800 | — | — | 769.65K | N/A |
| Series G Warrants Direct | Common Stock | 4.0500 | — | — | 1.49M | N/A |
| Series D Warrants Indirect | Common Stock | 4.0000 | — | — | 187.50K | N/A |
| Total | 2.45M | 0.00 | ||||