IPO registrations (S-1, F-1) · Registrants
WINDTREE THERAPEUTICS INC /DE/
- SEC CIK
- 946486 · filings on EDGAR ↗
- Former names
- DISCOVERY LABORATORIES INC /DE/ (1997–2016); ANSAN PHARMACEUTICALS INC (1997–1997); ANSAN INC (1996–1996)
- Registration
- Form S-1, first filed 2017-04-05, last 2025-10-24; 10 initial registrations, 10 amendments
- Outcome
- Final prospectus filed 2020-05-21; declared effective 2017-04-14; withdrawal requested 2024-07-25
- Industry (SIC)
- Biological Products, (No Diagnostic Substances) 2836
- Incorporated in
- DE
- Business address
- 2600 KELLY ROAD, SUITE 100, Warrington, PA 18976
- EIN
- 94-3171943
- EDGAR entity type
- operating
- Insiders and CEO pay
- WINDTREE THERAPEUTICS INC /DE/ on the corporate pages
On this site
- Form 5500 plan sponsor: WINDTREE THERAPEUTICS, INC. EXACT (EIN (EXACT))
- Form D issuer: WINDTREE THERAPEUTICS INC /DE/ EXACT (CIK (EXACT))
- SEC filer: DISCOVERY LABORATORIES INC /DE/ EXACT (CIK (EXACT))
- Person page: Christopher J Schaber Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
Filings 37
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2017-04-05 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-17-006152 ↗ |
| 2017-04-14 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-17-000843 ↗ |
| 2019-04-30 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-19-008327 ↗ |
| 2019-05-15 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-19-001128 ↗ |
| 2020-01-21 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-000849 ↗ |
| 2020-01-27 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-001187 ↗ |
| 2020-01-29 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-20-000187 ↗ |
| 2020-05-06 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-009626 ↗ |
| 2020-05-14 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-010653 ↗ |
| 2020-05-19 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-011216 ↗ |
| 2020-05-19 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-20-001197 ↗ |
| 2020-05-21 | 424B4 | 424B4 (final prospectus) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-20-011490 ↗ |
| 2020-09-29 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-20-002616 ↗ |
| 2022-01-03 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-22-000040 ↗ |
| 2023-02-14 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-003396 ↗ |
| 2023-04-07 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-009711 ↗ |
| 2023-04-13 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-010198 ↗ |
| 2023-04-19 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-010602 ↗ |
| 2023-04-19 | S-1MEF | S-1MEF (added securities) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-010669 ↗ |
| 2023-04-19 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-23-000981 ↗ |
| 2023-04-21 | 424B4 | 424B4 (final prospectus) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-23-010764 ↗ |
| 2023-05-30 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-23-001571 ↗ |
| 2024-04-19 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-24-001045 ↗ |
| 2024-05-09 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-24-015467 ↗ |
| 2024-07-25 | RW | RW (withdrawal request) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-24-023470 ↗ |
| 2024-08-23 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-24-027669 ↗ |
| 2024-09-03 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-24-002708 ↗ |
| 2024-09-03 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-24-002711 ↗ |
| 2025-02-14 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-004006 ↗ |
| 2025-04-23 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-012717 ↗ |
| 2025-04-24 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-012981 ↗ |
| 2025-04-25 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-25-001251 ↗ |
| 2025-05-16 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-017415 ↗ |
| 2025-07-07 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-022268 ↗ |
| 2025-07-10 | S-1/A | S-1/A (amendment) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-022494 ↗ |
| 2025-07-11 | EFFECT | EFFECT (declared effective) | WINDTREE THERAPEUTICS INC /DE/ | 9999999995-25-002228 ↗ |
| 2025-10-24 | S-1 | S-1 (registration) | WINDTREE THERAPEUTICS INC /DE/ | 0001437749-25-031723 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| CAPETOLA ROBERT J | Director,Officer; Other | President & CEO; President/CEO | 15 | 2006–2010 | |
| COOPER JOHN G | Director,Officer; Officer | Executive VP & CFO; Executive VP, CFO; Exec. VP, CFO; Exec.VP, CFO; EXEC. VP, CFO; President & CEO; President, CEO, & CFO; President & CFO | 23 | 2006–2015 | |
| LOPEZ DAVID L | Officer | Executive VP & General Counsel; Executive VP & Legal Counsel; Executive VP & Legal Counsel; Exec VP & Legal Counsel | 17 | 2006–2011 | |
| McGowan Kathleen A | Officer | Director, Finance and; Director, Finance & Controller; Dir, Finance and Controller | 4 | 2006–2008 | |
| Osterman Mark G | Officer | SVP, Sales and Marketing | 1 | 2006 | |
| SCHABER CHRISTOPHER | Officer | Exec. VP & COO | 1 | 2006 | person page Fuzzy |
| SEGAL ROBERT-MD | Officer | Senior VP, Sci & Med Affairs; Sr VP, Chief Medical Officer; SVO, Chief Medical Officer | 10 | 2006–2011 | |
| ZODDA DENI M PHD | Officer | Sr VP, Business Development | 1 | 2006 | |
| Katzer Charles F | Officer | SVP, Manufacturing Operations | 10 | 2006–2010 | |
| Cole Kathy | Officer | Senior VP, Human Resources | 19 | 2006–2015 | |
| Amick W Thomas | Director; Director,Officer; Officer | Chairman - CEO; Chief Executive Officer | 17 | 2006–2013 | |
| ESTEVE ANTONIO PHD | Director | 6 | 2006–2012 | ||
| LINK MAX | Director | 7 | 2006–2012 | ||
| MCDADE HERBERT H | Director | 5 | 2006–2010 | ||
| ROSENTHALE MARVIN E | Director | 25 | 2006–2016 | ||
| Miller Thomas F | Officer | Chief Operating Officer; Senior VP & COO; Sr. VP - Chief Oper. Officer; SVP, Chief Operating Officer; SVP, Commercial & Corp Dev; SVP, Commercial..& Corp. Dev.; SVP, Commercialization & Corp; SVP Commercialization-Corp Dev | 19 | 2006–2015 | |
| Tattory John A | Officer | Interim CFO; Senior VP and CFO; SVP & CFO; SVP & Chief Financial Officer; VP, Finance & CAO; VP Finance, Controller; VP, Finance (Prin Acc Officer); VP, Princ Acct Officer; VP, Principal Acct Officer | 25 | 2010–2023 | |
| PEACOCK BRUCE | Director | 14 | 2010–2021 | ||
| Hoy Thomas | Officer | VP, Manufacturing; VP, Manufacturing Ops. | 10 | 2010–2015 | |
| Clayton Russell | Officer | Senior VP, R&D | 8 | 2011–2014 | |
| Templeton Mary B Esq | Officer | Senior VP, General Counsel; SVP, Gen Counsel & Corp Sec; SVP, Gen Counsel, & Corp Sec | 17 | 2011–2020 | |
| Magee Michael L | Officer | VP, Quality Operations | 8 | 2012–2015 | |
| Leone John R | Director | 14 | 2012–2021 | ||
| Joseph Mahady M | Director | 12 | 2013–2021 | ||
| Simonson Steven | Officer | SVP, Chief Development Officer; SVP, Chief Medical Officer | 24 | 2014–2024 | |
| Fraser Craig | Director,Officer | Chief Executive Officer; President and CEO | 48 | 2016–2024 | |
| Lee's Pharmaceutical Holdings Ltd | TenPercentOwner | 4 | 2017–2019 | ||
| LPH Investments Ltd | TenPercentOwner | 1 | 2017 | ||
| LPH II Investments Ltd | TenPercentOwner | 3 | 2018–2019 | ||
| China Cardiovascular Focus Ltd | TenPercentOwner | 1 | 2018 | ||
| Lee's Pharmaceutical International Ltd | TenPercentOwner | 1 | 2018 | ||
| Huang James | Director; Director,TenPercentOwner | 18 | 2018–2023 | ||
| Ivy Blue Holdings Ltd | TenPercentOwner | 1 | 2018 | ||
| KPCB China Associates II, L.P. | TenPercentOwner | 1 | 2018 | ||
| KPCB China Fund II, L.P. | TenPercentOwner | 1 | 2018 | ||
| KPCB China Holdings II, Ltd. | TenPercentOwner | 1 | 2018 | ||
| Panacea Venture Healthcare Fund I, L.P. | TenPercentOwner | 1 | 2018 | ||
| Schreiber Brian D | Director | 4 | 2018–2021 | ||
| Bioengine Capital Inc. | TenPercentOwner | 2 | 2019–2022 | ||
| Center Laboratories, Inc. | TenPercentOwner | 2 | 2019–2022 | ||
| Geffken Daniel E. | Director | 7 | 2019–2023 | ||
| Curtis Eric | Officer | SVP & COO | 8 | 2020–2023 | |
| Hamill John P. | Officer | SVP & CFO | 8 | 2020–2022 | |
| Loh Evan | Director | 2 | 2021 | ||
| Williams Leslie J. | Director | 4 | 2021–2023 | ||
| SCOTT ROBERT A | Director | 4 | 2021–2023 | ||
| CARMAN DIANE | Officer | SVP & General Counsel | 4 | 2021–2023 | |
| Strobeck Mark | Director | 2 | 2023 | ||
| McAndrew Jamie | Officer | VP, Controller, & CAO | 1 | 2023 | |
| Latkin Jed | Director | 1 | 2024 | ||
| PELLETIER SAUNDRA L | Director | 1 | 2024 | ||
| Kelly Leanne | Director | 1 | 2025 | ||
| KUCHARCHUK ANDREW ALBERT | Director | 1 | 2025 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2019-12-19 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $26,424,996 | $26,424,996 | 5 | 1 |
| 2019-01-03 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $1,000,000 | $1,000,000 | 1 | 1 |
| 2018-07-25 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $1,500,000 | $1,500,000 | 1 | 1 |
| 2018-04-17 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $2,600,000 | $2,600,000 | 1 | 2 |
| 2017-11-02 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $10,307,632 | $10,307,632 | 17 | 1 |
| 2017-02-27 | WINDTREE THERAPEUTICS INC /DE/ | Biotechnology | $10,538,000 | $10,538,000 | 17 | 1 |
| 2014-10-21 | DISCOVERY LABORATORIES INC /DE/ | Biotechnology | $7,500,000 | $0 | 1 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.