SC 13G/A: WINDTREE THERAPEUTICS INC /DE/

AI Summary

SC 13G/A filing by WINDTREE THERAPEUTICS INC /DE/.

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.001 — INC. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class o
• $10.76 — is currently exercisable at a price of $10.76 per share (subject to adjustment as pro
• $2.93 — cisable on April 24, 2023 at a price of $2.93 per share (subject to adjustment as pro

Filing Documents

• tm246286d3_sc13ga.htm (SC 13G/A) — 109KB
• tm246286d3_ex99-1.htm (EX-99.1) — 11KB
• 0001104659-24-023804.txt ( ) — 122KB

From the Filing

SC 13G/A 1 tm246286d3_sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* WINDTREE THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 97382D204 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Rule 13d-1(b) x 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 on 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). (Page 1 of 13 Pages) SCHEDULE 13G CUSIP NO. 97382D204 Page 2 of 13 1 NAMES OF REPORTING PERSONS Lincoln Park Capital Fund, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 339,167 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 339,167 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 339,167 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.181% (1) /4.962% (2) 12 TYPE OF REPORTING PERSON OO (1) Represents the calculated percent share of beneficial ownership of Common Stock as of December 31, 2023. (2) Represents the calculated percent share of beneficial ownership of Common Stock as of February 9, 2024. SCHEDULE 13G CUSIP NO. 97382D204 Page 3 of 13 1 NAMES OF REPORTING PERSONS Lincoln Park Capital, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 339,167 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 339,157 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 339,167 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.181% (1) /4.962% (2) 12 TYPE OF REPORTING PERSON OO (1) Represents the calculated percent share of beneficial ownership of Common Stock as of December 31, 2023. (2) Represents the calculated percent share of beneficial ownership of Common Stock as of February 9, 2024. SCHEDULE 13G CUSIP NO. 97382D204 Page 4 of 13 1 NAMES OF REPORTING PERSONS Rockledge Capital Corporation 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Texas NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 339,167 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 339,167 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 339,167 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.181% (1) /4.962% (2) 12 TYPE OF REPORTING PERSON CO (1) Represents the calculated percent share of beneficial ownership of Common Stock as of December 31, 2023. (2) Represents the calculated percent share of beneficial ownership of Common Stock as of February 9, 2024. SCHEDULE 13G CUSIP NO. 97382D204 Page 5 of 13 1 NAMES OF REPORTING PERSONS Joshua B. Scheinfeld 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 339,167 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 339,167 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 339,167 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.181% (1) /4.962% (2) 12 TYPE OF REPORTING PERSON IN (1) Represents the calculated percent share of beneficial ownership of Common Stock as of December 31, 2023. (2) Represents the calculated percent share of beneficial ownershi

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