---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-24-023137"
form_type: "8-K"
ticker: "WINT"
cik: "0000946486"
company_name: "WINDTREE THERAPEUTICS INC /DE/"
filed_at: "2024-07-22T23:59:59+00:00"
generated_at: "2026-05-31T18:54:04.739410+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.75
calibrated_materiality_score: 0.75
confidence: "high"
source: SEC EDGAR
---

# Windtree Therapeutics raises $12.9M via Series C Preferred and Warrants; cancels $9.5M debt

## Summary
- Gross proceeds of ~$12.9M from private placement of Series C Convertible Preferred Stock and warrants; $9.5M used to cancel existing convertible notes, secured notes, and Series B preferred shares.
- Series C Preferred has stated value $1,000/share, initial conversion price $3.74, convertible into 267 shares of common; 10% dividend rate (18% default).
- Warrants to purchase up to 3,440,631 shares of common at $4.11/share, exercisable starting 6 months + 1 day after issuance, expiring 5 years later.
- Company issues 161 Preferred Shares and 42,838 Warrants as placement agent compensation.
- Company agrees to seek stockholder approval for share issuance; restricted period of 90 trading days with no further equity-linked issuances without consent.

## SEC filing metadata
- accession: 0001437749-24-023137
- form_type: 8-K
- ticker: WINT
- cik: 0000946486
- company_name: WINDTREE THERAPEUTICS INC /DE/
- filed_at: 2024-07-22T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.75
- calibrated_materiality_score: 0.75
- confidence: high
- sec_items: 1.01, 5.03, 1.02, 3.02, 3.03, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/946486/000143774924023137/0001437749-24-023137-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/946486/000143774924023137/wint20240718_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-24-023137
- JSON: https://secwatch.observer/filing/0001437749-24-023137.json
- Plain text: https://secwatch.observer/filing/0001437749-24-023137.txt

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.