Windtree Therapeutics, Inc. and Continental Stock Transfer & Trust Company, as Warrant AgentWarrant Agency Agreement • May 6th, 2020 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances) • New York
WARRANT AGENCY AGREEMENT, dated as of [●], 2020 (“Agreement”), between Windtree Therapeutics, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a New York corporation (the “Warrant Agent”).
UNDERWRITING AGREEMENTUnderwriting Agreement • May 6th, 2020 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances) • New York
The undersigned, Windtree Therapeutics, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
COMMON STOCK PURCHASE WARRANT WINDTREE THERAPEUTICS, INC.Windtree Therapeutics Inc /De/ • May 6th, 2020 • Biological products, (no disgnostic substances) • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on the five (5) year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Windtree Therapeutics, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b). This Warrant shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole register
BINDING TERM SHEETBinding Term Sheet • May 6th, 2020 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances) • London
THIS BINDING TERM SHEET (this “Term Sheet”) is entered into on March 18, 2020 (the “Effective Date”), by and between LEE’S PHARMACEUTICAL (HK) LTD. (“LP”), and WINDTREE THERAPEUTICS, INC., a Delaware corporation (“WINT”), as follows:
FORM OF Series I Warrant to purchase Common StockWindtree Therapeutics Inc /De/ • May 6th, 2020 • Biological products, (no disgnostic substances) • Delaware
This amendment No. 1 to the SERIES I WARRANT TO PURCHASE COMMON STOCK (this “Agreement”) is made as of May 6, 2020, by and between Windtree Therapeutics, Inc., a Delaware corporation (the “Company”) and the undersigned holder (“Holder”). The Company and the Holder are sometimes referred to herein collectively as the “Parties” and individually as a “Party.”
AMENDMENT NO. 1 TO PAYMENT RESTRUCTURING AGREEMENTPayment Restructuring Agreement • May 6th, 2020 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances)
This Amendment No. 1 to Payment Restructuring Agreement (this “Amendment”) is made by and between Windtree Therapeutics, Inc., a corporation organized and existing under the laws of the state of Delaware, having its principal place of business at 2600 Kelly Road, Suite 100, Warrington, PA 18976 USA (“Windtree”), and Battelle Memorial Institute, through its Corporate Operations, a corporation organized and existing under the laws of the state of Ohio, having its principal place of business at 505 King Avenue, Columbus, OH 43201-2693 USA (“Battelle”). This Amendment is effective as of the date of the last signature below (the “Amendment Effective Date”).
O-Bank Comprehensive Credit Facility AgreementWindtree Therapeutics Inc /De/ • May 6th, 2020 • Biological products, (no disgnostic substances)
Because the collection of personal data involves your privacy rights, when O-Bank Co., Ltd. (hereinafter referred to as our Bank) collects personal data from you, it shall comply with the provisions of Paragraph 1 of Article 8 of the Personal Data Protection Act (hereinafter referred to as the Personal Data Protection Act), and the following matters should be clearly notified to you:
