0001437749-24-023367.txt : 20240724 0001437749-24-023367.hdr.sgml : 20240724 20240724172747 ACCESSION NUMBER: 0001437749-24-023367 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240722 FILED AS OF DATE: 20240724 DATE AS OF CHANGE: 20240724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fraser Craig CENTRAL INDEX KEY: 0001557420 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39290 FILM NUMBER: 241139105 MAIL ADDRESS: STREET 1: AEGERION PHARMACEUTICALS, INC. STREET 2: 101 MAIN STREET, SUITE 1850 CITY: CAMBRIDGE STATE: MA ZIP: 02142 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WINDTREE THERAPEUTICS INC /DE/ CENTRAL INDEX KEY: 0000946486 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 943171943 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2600 KELLY ROAD STREET 2: SUITE 100 CITY: WARRINGTON STATE: PA ZIP: 18976 BUSINESS PHONE: 2154889300 MAIL ADDRESS: STREET 1: 2600 KELLY ROAD STREET 2: SUITE 100 CITY: WARRINGTON STATE: PA ZIP: 18976 FORMER COMPANY: FORMER CONFORMED NAME: DISCOVERY LABORATORIES INC /DE/ DATE OF NAME CHANGE: 19971201 FORMER COMPANY: FORMER CONFORMED NAME: ANSAN PHARMACEUTICALS INC DATE OF NAME CHANGE: 19961121 FORMER COMPANY: FORMER CONFORMED NAME: ANSAN INC DATE OF NAME CHANGE: 19950609 4 1 rdgdoc.xml FORM 4 X0508 4 2024-07-22 0000946486 WINDTREE THERAPEUTICS INC /DE/ WINT 0001557420 Fraser Craig 2600 KELLY ROAD SUITE 100 WARRINGTON PA 18976 1 1 President and CEO 0 Series C Preferred Stock 2024-07-22 4 A 0 19 A Common Stock 5073 19 D Warrants (Right to Buy) 4.11 2024-07-22 4 A 0 4011 A Common Stock 4011 4011 D On July 22, 2024, the Reporting Person acquired 19 shares of the Issuer's Series C Convertible Preferred Stock, $0.001 par value ("Series C Preferred Stock"), in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of July 18, 2024 (the "Purchase Agreement"). The shares of Series C Preferred Stock have the rights and preferences set forth on the certificate of designations of Series C Preferred Stock filed with the Secretary of State for the State of Delaware on July 19, 2024. The Series C Preferred Stock has a stated value of $1,000 per share and currently has a conversion price of $3.74 per share. The Series C Preferred Stock has no expiration date. Pursuant to the Purchase Agreement, the Reporting Person acquired 4,011 warrants to purchase 4,011 shares of the Issuer's common stock, $0.001 par value per share ("Warrants"). The Warrants have an exercise price of $4.11 per share, subject to customary adjustments, and will become exercisable on the six month and one day anniversary of the issuance date (the "Initial Exercisability Date"), and expire on the fifth (5th) anniversary of the Initial Exercisability Date. /s/ Jamie McAndrew, as Attorney-in-Fact 2024-07-24