3,686,006 SHARES OF COMMON STOCK, PRE-FUNDED WARRANTS EXERCISABLE INTO 0 SHARES OF COMMON STOCK AND COMMON WARRANTS EXERCISABLE INTO 3,686,006 SHARES OF COMMON STOCK OF WINDTREE THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 24th, 2023 • 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.
Windtree Therapeutics, Inc. and Continental Stock Transfer & Trust Company, as Warrant AgentWarrant Agency Agreement • April 24th, 2023 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances) • New York
WARRANT AGENCY AGREEMENT, dated as of April 24, 2023 (“Agreement”), between Windtree Therapeutics, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a New York corporation (the “Warrant Agent”).
