Windtree Therapeutics Submits Matters to Security Holders

TL;DR

Windtree Therapeutics is having a shareholder vote on Sept 24th. Details TBD.

AI Summary

On September 24, 2024, Windtree Therapeutics, Inc. filed an 8-K report to announce that it has submitted matters to a vote of its security holders. The filing does not disclose the specific proposals or the outcome of the vote.

Why It Matters

This filing indicates that Windtree Therapeutics is seeking shareholder approval for certain corporate actions, which could impact the company's future direction and shareholder rights.

Risk Assessment

Risk Level: medium — The filing concerns a vote by security holders, which could lead to significant corporate changes or reflect existing shareholder sentiment on company matters.

Key Players & Entities

• Windtree Therapeutics, Inc. (company) — Registrant
• Delaware (jurisdiction) — State of incorporation
• September 24, 2024 (date) — Date of report and earliest event

FAQ

Key Financial Figures

• $0.001 — h registered Common Stock , par value $0.001 per share WINT The Nasdaq Capital Ma
• $3 — ock with an initial conversion price of $3.74, which is subject to adjustment to n
• $1.28 — subject to adjustment to no lower than $1.28 per share, and (ii) the exercise of war
• $4 — with, with an initial exercise price of $4.11, subject to customary adjustments .

Filing Documents

• wint20240924_8k.htm (8-K) — 44KB
• 0001437749-24-029915.txt ( ) — 174KB
• wint-20240924.xsd (EX-101.SCH) — 3KB
• wint-20240924_def.xml (EX-101.DEF) — 11KB
• wint-20240924_lab.xml (EX-101.LAB) — 15KB
• wint-20240924_pre.xml (EX-101.PRE) — 11KB
• wint20240924_8k_htm.xml (XML) — 3KB

07

Item 5.07 Submission of Matters to a Vote of Security Holders On September 24, 2024, Windtree Therapeutics, Inc. (the "Company") held its Annual Meeting of Stockholders (the "Annual Meeting") virtually. As of August 28, 2024, the record date for the Annual Meeting, there were 591,909 outstanding shares of the Company's common stock. The following is a brief description of the final voting results for each of the proposals submitted to a vote of the stockholders at the Annual Meeting, which are described in the Company's Definitive Proxy Statement on Schedule 14A for the Annual Meeting, filed with the U.S. Securities and Exchange Commission on September 3, 2024. (a) Proposal 1 — Election of the Four Director Nominees to Serve until the Company ' s 2025 Annual Meeting . The votes with respect to the election of four directors to hold office until the 2025 annual meeting were as follows: Director Votes For Votes Withheld Broker Non-Votes Craig E. Fraser 258,847 13,702 112,534 Jed Latkin 258,619 13,930 112,534 Saundra Pelletier 259,027 13,522 112,534 Mark Strobeck, Ph.D. 261,491 11,058 112,534 (b) Proposal 2 — Approval, on an Advisory Basis, of the Compensation of the Company ' s Named Executive Officers . The votes with respect to the approval, on an advisory basis, of the compensation of the Company's named executive officers were as follows: Votes For Votes Against Abstentions Broker Non-Votes 252,693 11,061 8,795 112,534 (c) Proposal 3 — Ratification of Appointment of EisnerAmper LLP as the Company ' s Independent Registered Public Accounting Firm for 2024 . The votes with respect to the ratification of appointment of EisnerAmper LLP as the Company's Independent Registered Public Accounting Firm for 2024 were as follows: Votes For Votes Against Abstentions Broker Non-Votes 368,203 7,737 9,143 N/A (d) Proposal 4 — Approval of the issuance of shares of common stock, in accordance with Nasdaq Listing

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Dated: September 24, 2024 Windtree Therapeutics, Inc. By: /s/ Craig E. Fraser Name: Craig E. Fraser Title: President and Chief Executive Officer

View Full Filing

View this 8-K filing on SEC EDGAR