Windtree Therapeutics Files 8-K

TL;DR

WINT filed an 8-K for routine financial updates.

AI Summary

On October 4, 2024, Windtree Therapeutics, Inc. filed an 8-K report. The filing primarily concerns financial statements and exhibits, indicating a routine update rather than a significant event. No specific financial figures or new business developments were detailed in the provided excerpt.

Why It Matters

This filing serves as a standard disclosure for Windtree Therapeutics, Inc., providing updates on financial statements and exhibits to the SEC.

Risk Assessment

Risk Level: low — The filing appears to be a routine disclosure of financial statements and exhibits, with no immediate indication of significant positive or negative events.

Key Players & Entities

• Windtree Therapeutics, Inc. (company) — Registrant
• Delaware (jurisdiction) — State of incorporation
• October 4, 2024 (date) — Date of earliest event reported

FAQ

Key Financial Figures

• $0.001 — h registered Common Stock , par value $0.001 per share WINT The Nasdaq Capital Ma
• $1.7 million — gregate gross proceeds of approximately $1.7 million pursuant to the ELOC Purchase Agreement
• $0.8 million — 24 for an aggregate redemption price of $0.8 million pursuant to the Company's Certificate o

Filing Documents

• wint20241004_8k.htm (8-K) — 24KB
• 0001437749-24-030737.txt ( ) — 156KB
• wint-20241004.xsd (EX-101.SCH) — 3KB
• wint-20241004_def.xml (EX-101.DEF) — 12KB
• wint-20241004_lab.xml (EX-101.LAB) — 15KB
• wint-20241004_pre.xml (EX-101.PRE) — 12KB
• wint20241004_8k_htm.xml (XML) — 3KB

01

Item 8.01 Other Events. As disclosed in the Current Report on Form 8-K filed by Windtree Therapeutics, Inc. (the "Company") with the Securities and Exchange Commission (the "SEC") on July 22, 2024, the Company previously entered into a Common Stock Purchase Agreement (the "ELOC Purchase Agreement") pursuant to which the Company may sell to the Purchaser named therein shares of the Company's common stock, par value $0.001 per share ("Common Stock") from time to time, subject to certain limitations as described in the ELOC Purchase Agreement. As disclosed in the Current Reports on Form 8-K filed by the Company with the SEC on July 22, 2024 and July 29, 2024, the Company entered into certain private placement transactions (the "Private Placement") to sell an aggregate of 27,668,106 shares of Common Stock, issuable upon (i) the conversion of shares (the "Preferred Shares") of the Company's Series C convertible preferred stock, par value $0.001 per share, and (ii) the exercise of certain warrants. The Registration Statement on Form S-3 (File No. 333-281688) filed by the Company with the SEC on August 21, 2024 and relating to the Private Placement, and the Registration Statement on Form S-1 (File No. 333-281755) filed by the Company with the SEC on August 23, 2024 and relating to the ELOC Purchase Agreement, each became effective on September 3, 2024. From September 14, 2024 through October 4, 2024, the Company (i) sold an aggregate of 790,500 shares of Common Stock for aggregate gross proceeds of approximately $1.7 million pursuant to the ELOC Purchase Agreement, and (ii) converted 2,368 Preferred Shares into 1,278,452 shares of Common Stock pursuant to the Private Placement transaction documents. Accordingly, the shares of Common Stock outstanding increased from 1,610,734 shares as of September 13, 2024 to 3,679,686 shares as of October 4, 2024. Additionally, as a result of its sales of Common Stock pursuant to the ELOC Purchase Agreement, the Company redeemed 611

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: October 4, 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