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| OMB APPROVAL |
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|OMB NUMBER: |
UNITED STATES |EXPIRES: |
SECURITIES AND EXCHANGE COMMISSION | JUNE 30, 2012 |
Washington, D.C. 20549 |ESTIMATED AVERAGE |
|BURDEN HOURS |
|PER RESPONSE ...11 |
SCHEDULE 13G _____________________|
Under the Securities Exchange Act of 1934
(Amendment No. 3 )*
WINDTREE THERAPEUTICS, INC (WINT)
---------------------------------------------
(Name of Issuer)
Common Stock
-------------------------------------------------
(Title of Class of Securities)
97382D204
----------------------------------------------------
(CUSIP Number)
December 31, 2018
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be "filed" for the purpose of Section 18 of the
Securities Exchange Act of 1934 ("Act") or otherwise subject to
the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
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CUSIP No. 97382D204 SCHEDULE 13G
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Investment Group, L.P.
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) [ ]
(b) [ ]
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(3) SEC USE ONLY
------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 680,570
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
680,570
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
680,570
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.1%
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
IA
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CUSIP No. 97382D204 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Fund GP, LLC
------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) [ ]
(b) [ ]
------------------------------------------------------------------------------
(3) SEC USE ONLY
------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 680,570
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
680,570
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
680,570
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.1%
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
OO
------------------------------------------------------------------------------
------------------------------------------------------------------------------
CUSIP No. 97382D204 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Fund 2 GP, LLC
------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) [ ]
(b) [ ]
------------------------------------------------------------------------------
(3) SEC USE ONLY
------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 680,570
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
680,570
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
680,570
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.1%
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
OO
------------------------------------------------------------------------------
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CUSIP No. 97382D204 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Anand Parekh
------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions):
(a) [ ]
(b) [ ]
------------------------------------------------------------------------------
(3) SEC USE ONLY
------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 680,570
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
680,570
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
680,570
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.1%
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
IN
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CUSIP NO. 97382D204 SCHEDULE 13G
Item 1(a). Name of Issuer:
WINDTREE THERAPEUTICS INC
Item 1(b). Address of Issuer's Principal Executive Offices:
2600 Kelly Road, Suite 100
Warrington, PA 18976
Item 2(a). Name of Persons Filing:
(i) Alyeska Investment Group, L.P.
(ii) Alyeska Fund GP, LLC
(iii) Alyeska Fund 2 GP, LLC
(iv) Anand Parekh
Item 2(b). Address of Principal Business Office or, if None, Residence:
(i) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(ii) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(iii) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(iv) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
Item 2(c). Citizenship:
(i) Alyeska Investment Group, L.P.- Delaware
(ii) Alyeska Fund GP, LLC- Delaware
(iii) Alyeska Fund 2 GP, LLC- Delaware
(iv) Anand Parekh- United States of America
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
97382D204
Item 3. If This Statement is Filed Pursuant to Sections 240.13d-1(b)
or 240.13d-2(b), Check Whether the Person Filing is a:
(a) Alyeska Investment Group, L.P., a limited partnership organized under the
laws of the State of Delaware, is a registered investment adviser under Section
203 of the Investment Advisers Act of 1940, as amended, and is reporting in
accordance with 240.13d-1(b)(1)(ii)(E).
(b) Alyeska Fund GP, LLC, a limited liability company organized under the laws
of the State of Delaware, serves as the General Partner and control person of
Alyeska Master Fund, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
(c) Alyeska Fund 2 GP, LLC, a limited liability company organized under the laws
of the State of Delaware, serves as the General Partner and control person of
Alyeska Master Fund 2, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
(d) Anand Parekh is the Chief Executive Officer and control person of Alyeska
Investment Group, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
Item 4. Ownership.
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified
in Item 1.
(a) Amount beneficially owned: Please refer to items 5-9 of the cover
pages attached hereto
(b) Percent of class: Please refer to item 11 of the cover pages attached
hereto
(c) Number of shares as to which the person has: Please refer to items
5-8 of the cover pages attached hereto
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial
owner of more than 5 percent of the class of securities, check the
following: [X]
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company or
Controlling Person.
Not Applicable
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
CUSIP NO. 97382D204 SCHEDULE 13G
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
Dated: February 14, 2019
Alyeska Investment Group, L.P.
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 2 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Anand Parekh
By: /s/ Anand Parekh
-------------------------------
Name: Anand Parekh
Individually
CUSIP NO. 97382D204 SCHEDULE 13G
Exhibit A
Agreement
The undersigned agree that the statement to which this exhibit is appended is
filed on behalf of each of them.
Dated: February 14, 2019
Alyeska Investment Group, L.P.
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 2 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Anand Parekh
By: /s/ Anand Parekh
-------------------------------
Name: Anand Parekh
Individually