Windtree Therapeutics Files S-1 Registration Statement

TL;DR

<b>Windtree Therapeutics, Inc. has filed an S-1 registration statement for a public offering of securities.</b>

AI Summary

WINDTREE THERAPEUTICS INC /DE/ (WINTW) filed a IPO Registration (S-1) with the SEC on May 9, 2024. Windtree Therapeutics, Inc. filed an S-1 registration statement with the SEC on May 9, 2024. The company is incorporated in Delaware and its principal executive offices are located in Warrington, Pennsylvania. The filing is for a proposed sale of securities to the public, with the exact date to be determined. The company was formerly known as Discovery Laboratories Inc. /DE/. The filing is made under the Securities Act of 1933.

Why It Matters

For investors and stakeholders tracking WINDTREE THERAPEUTICS INC /DE/, this filing contains several important signals. This S-1 filing indicates Windtree Therapeutics is preparing to raise capital through a public offering, which could fund its ongoing operations and development pipeline. The registration statement provides detailed information about the company's business, financial condition, and risks, allowing potential investors to assess the offering.

Risk Assessment

Risk Level: medium — WINDTREE THERAPEUTICS INC /DE/ shows moderate risk based on this filing. The company is in the biotechnology sector, which is inherently risky due to long development cycles, high failure rates, and significant regulatory hurdles, as evidenced by the S-1 filing itself being a precursor to a public offering which implies a need for capital and potential financial uncertainties.

Analyst Insight

Investors should review the full S-1 filing to understand the specific risks and potential of Windtree Therapeutics' business before considering any investment.

Key Numbers

• 2024-05-09 — Filing Date (S-1 Registration Statement)
• 333-279241 — SEC File Number (Registration Statement)
• 19971201 — Date of Name Change (From Discovery Laboratories Inc. /DE/)

Key Players & Entities

• Windtree Therapeutics, Inc. (company) — Registrant
• Securities and Exchange Commission (regulator) — Filing recipient
• May 9, 2024 (date) — Filing date
• Delaware (jurisdiction) — State of incorporation
• Warrington, Pennsylvania (location) — Principal executive offices
• Securities Act of 1933 (regulation) — Act under which filing is made
• Discovery Laboratories Inc. /DE/ (company) — Former company name
• Craig E. Fraser (person) — President and Chief Executive Officer

FAQ

Risk Factors

• Regulatory Risks [high — regulatory]: The company's operations are subject to extensive government regulation, including the FDA, which can impact product development, approval, and marketing.
• Need for Additional Funding [high — financial]: The company has a history of operating losses and may require significant additional capital to fund its ongoing operations and development activities.
• Competition [medium — market]: The biotechnology and pharmaceutical markets are highly competitive, with many companies developing similar products.
• Dependence on Key Personnel [medium — operational]: The success of the company may depend on the continued service of its key scientific and management personnel.

Key Dates

• 2024-05-09: S-1 Filing — Registration statement filed with the SEC for a public offering.

Key Financial Figures

• $0 — g shares of our common stock, par value $0.001, or common stock, and warrants to p
• $250 million — ock held by non-affiliates is less than $250 million measured on the last business day of ou
• $100 million — or (ii) our annual revenue is less than $100 million during the most recently completed fisc
• $700 million — ock held by non-affiliates is less than $700 million measured on the last business day of ou
• $0.001 — ise price of each pre-funded warrant is $0.001 per share. The pre-funded warrants are

Filing Documents

• wint20240507_s1.htm (S-1) — 495KB
• ex_669552.htm (EX-3.1) — 350KB
• ex_669554.htm (EX-23.1) — 3KB
• ex_669553.htm (EX-FILING FEES) — 52KB
• wint20240507_s1img001.jpg (GRAPHIC) — 5KB
• wint20240507_s1img002.jpg (GRAPHIC) — 5KB
• 0001437749-24-015467.txt (&nbsp;) — 1184KB
• wint-20240509.xsd (EX-101.SCH) — 3KB
• wint-20240509_def.xml (EX-101.DEF) — 9KB
• wint-20240509_lab.xml (EX-101.LAB) — 11KB
• wint-20240509_pre.xml (EX-101.PRE) — 8KB
• wint20240507_s1_htm.xml (XML) — 2KB

Risk Factors

Risk Factors 6 Special Note Regarding Forward-Looking Statements 13 S elected f inancial D ata 15

Use of Proceeds

Use of Proceeds 15 Dividend Policy 16

Description of Capital Stock

Description of Capital Stock 19 Description of the Securities We are Offering 24

Underwriting

Underwriting 27 Legal Matters 31 Experts 31 Where You Can Find Additional Information 32 Incorporation of Certain Information by Reference 33 Table of Contents ABOUT THIS PROSPECTUS The registration statement we filed with the Securities and Exchange Commission, or the SEC, includes exhibits that provide more detail of the matters discussed in this prospectus. You should read this prospectus, the related exhibits filed with the SEC, and the documents incorporated by reference herein before making your investment decision. You should rely only on the information provided in this prospectus and the documents incorporated by reference herein or any amendment thereto. You should not assume that the information contained in this prospectus or any related free writing prospectus is accurate on any date subsequent to the date set forth on the front of the document or that any information we have incorporated by reference herein or therein is correct on any date subsequent to the date of the document incorporated by reference, even though this prospectus or any related free writing prospectus is delivered, or securities are sold, on a later date. This prospectus contains or incorporates by reference summaries of certain provisions contained in some of the documents described herein, but reference is made to the actual documents for complete information. All of the summaries are qualified in their entirety by the actual documents. Copies of some of the documents referred to herein have been or will be filed or have been or will be incorporated by reference as exhibits to the registration statement of which this prospectus forms a part, and you may obtain copies of those documents as described in this prospectus under the heading " Where You Can Find More Information ." You should rely only on the information that we have included or incorporated by reference in this prospectus and any related free writing prospectus that we may authorize to be provid

View Full Filing

View this S-1 filing on SEC EDGAR