secwatch.observer — SEC 8-K summary
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Issuer:     WINDTREE THERAPEUTICS INC /DE/ (WINT)
CIK:        0000946486
Form:       8-K
Filed at:   2023-01-26T23:59:59+00:00
Accession:  0001437749-23-001885
Event type: other_material
Sentiment:  neutral
Materiality: 0.65
Item codes: 1.01, 3.02, 3.03, 9.01
LLM model:  deepseek-v4-flash:cloud@v2

Windtree Therapeutics amends warrants to $0.20/sh, raises ~$1M, issues 9.6M new warrants
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- Existing warrants for 4,808,595 shares exercised at reduced price of $0.20, gross proceeds ~$1.0M.
- Company issued new warrants to purchase up to 9,617,190 shares at $0.2152, exercisable after 6 months.
- New warrants expire 5 years from initial exercise date; beneficial ownership limit 4.99% (up to 9.99% opt-in).
- Ladenburg Thalmann served as placement agent, receiving 8% fee plus 1% management fee.
- Registration statement for resale of new warrant shares to be filed within 90 days.

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/946486/000143774923001885/0001437749-23-001885-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/946486/000143774923001885/wint20230126_8k.htm
  HTML page:      https://secwatch.observer/filing/0001437749-23-001885

License: Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer