Form D · Biotechnology
WINDTREE THERAPEUTICS INC /DE/
Warrington, PA · CIK 0000946486
Offering snapshot reported Dec 19, 2019 · SEC filing
- Reported sold
- $26.4M Offering amount: $26.4M
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 6, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 19, 2019 | Initial | $26,424,996 | No comparison | 5 | SEC filing |
| Jan 3, 2019 | Initial | $1,000,000 | No comparison | 1 | SEC filing |
| Jul 26, 2018 | Amendment | $2,600,000 | -$23,400,000vs Apr 17, 2018 | 1 | SEC filing |
| Jul 25, 2018 | Initial | $1,500,000 | No comparison | 1 | SEC filing |
| Apr 17, 2018 | Initial | $26,000,000 | No comparison | 1 | SEC filing |
| Nov 2, 2017 | Initial | $10,307,632 | No comparison | 17 | SEC filing |
| Feb 27, 2017 | Initial | $10,538,000 | No comparison | 17 | SEC filing |
| Oct 21, 2014 | Initial | $0 | No comparison | 1 | SEC filing |
| Dec 17, 2013 | Initial | $0 | No comparison | 4 | SEC filing |
| Sep 12, 2013 | Initial | $14,525 | No comparison | 1 | SEC filing |
| Jun 7, 2013 | Initial | $12,000 | No comparison | 1 | SEC filing |
| Mar 15, 2013 | Initial | $18,450 | No comparison | 1 | SEC filing |
| Feb 28, 2013 | Initial | $0 | No comparison | 4 | SEC filing |
| Dec 22, 2008 | Initial | $0 | No comparison | Not reported | SEC filing |
| Dec 7, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| May 2, 2006 | Paper | Not reported | No comparison | Not reported |
Offering details
- Securities
- Equity, Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $324K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-356011
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Rui Jin (HK) Consulting Management Company Limited | None |
Source: Form D, filed Dec 19, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| W. Thomas Amick | Director |
| Robert J. Capetola, Ph.D. | Director, Executive |
| Russell Clayton, D.O. | Executive |
| Kathryn Cole | Executive |
| John C. Cooper | Director, Executive |
| George Cox | Executive |
| Antonio Esteve, Ph.D. | Director |
| Craig Fraser | Director, Executive |
| Daniel Geffken | Director |
| Thomas C. Hoy | Executive |
| James Huang | Director |
| Charles F. Katzer | Executive |
| John Leone | Director |
| Max E. Link, Ph.D. | Director |
| David L. Lopez Esq., Cpa | Executive |
| Michael L. Magee | Executive |
| Joseph Mahady | Director |
| Herbert H. Mc Dade, Jr. | Director |
| Thomas F. Miller, Ph.D., Mba | Executive |
| Bruce Peacock | Director |
| Marvin E. Rosenthale | Director |
| Marvin E. Rosenthale, Ph.D. | Director |
| Brian Schreiber | Director |
| Steven Simonson | Executive |
| John Tattory | Executive |
| Mary B. Templeton | Executive |
| Mary B. Templeton, Esq. | Executive |
| Lawrence A. Weinstein | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
2600 Kelly Road Suite 100
Warrington, PA, 18976
Warrington, PA, 18976