WINDTREE THERAPEUTICS INC /DE/

Overview

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• TickerWINT on OTC¹
• IndustryBiological Products, (No Diagnostic Substances)¹
• HeadquartersWarrington, Pennsylvania¹
• Incorporated inDE²
• Business address2600 Kelly Road, Suite 100, Warrington, Pa 18976²
• Filer categoryNon-accelerated filer, Smaller reporting company²

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We are a biotechnology company focused on advancing early and late-stage innovative therapies for critical conditions and diseases. Our portfolio of product candidates includes istaroxime, a Phase 2 candidate that inhibits the sodium-potassium ATPase and also activates sarco endoplasmic reticulum Ca2+ -ATPase 2a, or SERCA2a, for acute heart failure and/or associated cardiogenic shock; preclinical SERCA2a activators for heart failure; rostafuroxin for the treatment of hypertension in patients with a specific genetic profile; and a preclinical atypical protein kinase C iota, or aPKCi, inhibitor (topical and oral formulations), being developed for potential application in rare and broad oncology indications. We also have a licensing business model with partnership out-licenses currently in place.³ From its latest annual report

Corporate structure

WINDTREE THERAPEUTICS INC /DE/ sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What WINDTREE THERAPEUTICS INC /DE/ reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Intangibles and goodwill

Properties, in its own words

We maintain our principal executive offices at 2600 Kelly Road, Suite 100, Warrington, Pennsylvania 18976-3622. Our premises include corporate administration, research and drug development, clinical operations, regulatory affairs, and quality.

We also maintain a location in Taipei, Taiwan consisting of approximately 1,317 square feet of office space, where we oversee certain manufacturing development and preclinical activities occurring at a university in Taiwan related to our cardiovascular drug product candidates. We believe our current facilities are adequate for our needs in 2025.

Item 2 of the 10-K filed Apr 15, 2025.³

Leadership

Who has led WINDTREE THERAPEUTICS INC /DE/, and when. Pick a name to see everywhere that person has worked.

• Chief executive officerCraig Fraser Feb 2, 2016 to now¹²
• Chief executive officerW. Thomas Amick Sep 8, 2009 to Feb 13, 2013¹³
• Chief executive officerRobert J. Capetola Jan 5, 2006 to Dec 16, 2008¹⁴
• ChairW. Thomas Amick Jan 23, 2012 to Jan 23, 2012¹⁵
• PresidentCraig Fraser Feb 3, 2016 to now¹⁶
• PresidentRobert J. Capetola Jan 5, 2006 to Dec 16, 2008¹⁴
• Chief financial officerJohn A. Tattory Feb 17, 2015 to Feb 3, 2023¹⁷
• Chief operating officerEric Curtis Mar 19, 2020 to Aug 25, 2023¹⁸
• Chief operating officerChristopher Schaber Jan 5, 2006 to Jan 5, 2006¹⁹

Former names

• DISCOVERY LABORATORIES INC /DE/Dec 5, 1997 to Apr 18, 2016²
• ANSAN PHARMACEUTICALS INCAug 26, 1997 to Jul 21, 1997²
• ANSAN INCSep 5, 1996 to May 15, 1996²

Timeline

1. Jul 22, 20268-K Entered a material agreement⁵⁴
2. Jan 7, 20268-K Executive or director change⁵⁵
3. Dec 2, 20258-K New debt or obligation; Unregistered sale of shares⁵⁶
4. Oct 16, 20258-K New debt or obligation; Unregistered sale of shares⁵⁷
5. Oct 6, 20258-K Entered a material agreement⁵⁸
6. Sep 8, 20258-K Executive or director change⁵⁹
7. Sep 2, 20258-K Shareholder vote⁶⁰
8. Aug 20, 20258-K Listing notice or transfer⁶¹
9. Aug 8, 20258-K Other events⁶²
10. Aug 5, 20258-K Regulation FD disclosure⁶³
11. Aug 4, 20258-K Executive or director change⁶⁴
12. Jul 24, 20258-K Entered a material agreement; New debt or obligation; Unregistered sale of shares⁶⁵
13. Feb 2, 2016New chief executive Craig Fraser becomes CEO¹²
14. Sep 8, 2009New chief executive W. Thomas Amick becomes CEO¹³
15. Jan 5, 2006New chief executive Robert J. Capetola becomes CEO¹⁴

Calendar

When it reported results

1. May 16, 2025Reported quarterly or annual results⁶⁶
2. Apr 15, 2025Reported quarterly or annual results⁶⁷
3. Nov 27, 2024Reported quarterly or annual results⁶⁸
4. Aug 20, 2024Reported quarterly or annual results⁶⁹
5. Apr 17, 2024Reported quarterly or annual results⁷⁰
6. Nov 9, 2023Reported quarterly or annual results⁷¹
7. Aug 7, 2023Reported quarterly or annual results⁷²
8. May 15, 2023Reported quarterly or annual results⁷³

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

279 filings to the SEC since October 2021: 6 annual reports, 13 quarterly reports, 96 major events, 50 insider forms, 15 large holders, 99 other. The latest 20:

1. Jul 22, 20268-K EDGAR
2. Apr 1, 2026NT 10-K EDGAR
3. Jan 7, 20268-K EDGAR
4. Dec 2, 20258-K EDGAR
5. Nov 21, 2025424B3 EDGAR
6. Nov 19, 202510-Q EDGAR
7. Nov 14, 2025NT 10-Q EDGAR
8. Nov 13, 2025424B3 EDGAR
9. Oct 24, 2025S-1 EDGAR
10. Oct 16, 20258-K EDGAR
11. Oct 6, 20258-K EDGAR
12. Sep 8, 20258-K EDGAR
13. Sep 2, 20258-K EDGAR
14. Aug 20, 20258-K EDGAR
15. Aug 19, 202510-Q EDGAR
16. Aug 14, 2025NT 10-Q EDGAR
17. Aug 11, 2025ARS EDGAR
18. Aug 8, 2025DEF 14A EDGAR
19. Aug 8, 20258-K EDGAR
20. Aug 5, 20253 EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

20 open-market trades by officers, directors and large owners since October 2021: 19 buys and 1 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• ARMISTICE CAPITAL, LLCSCHEDULE 13G/A, 2 filings Nov 14, 2024 to Feb 14, 2025⁷⁴
• James E. FlynnSC 13G/A, 2 filings Feb 1, 2024 to Nov 14, 2024⁷⁵
• Lind Global Fund II LPSC 13G/A, 3 filings Apr 28, 2023 to Nov 14, 2024⁷⁶
• Lincoln Park Capital Fund, LLCSC 13G/A, 2 filings Apr 24, 2023 to Feb 14, 2024⁷⁷
• Krishna DuvvuriSC 13G, 1 filing Nov 13, 2023⁷⁸
• James HuangSC 13D/A, 4 filings Feb 9, 2023 to May 17, 2023⁷⁹
• Center Laboratories, Inc.SC 13G/A, 1 filing Jan 10, 2022⁸⁰

Executive pay

What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.

SEC filer profile

How WINDTREE THERAPEUTICS INC /DE/ is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARWINDTREE THERAPEUTICS INC /DE/¹
• CIK0000946486
• Employer ID (EIN)94-3171943³
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; not a shell company³
• Incorporated inDelaware³
• Fiscal year endsDecember 31¹
• Industry code (SIC)2836 Biological Products, (No Diagnostic Substances)¹
• SEC reviewing officeOffice of Life Sciences, Division of Corporation Finance¹
• Business address2600 Kelly Road, Suite 100, Warrington, PA 18976¹
• Phone2154889300¹
• Shares outstanding33,708,784 as of Nov 14, 2025⁸
• Public float$1.9M as of Jun 28, 2024³
• AuditorEisnerAmper LLP, Philadelphia, Pennsylvania PCAOB ID 274; no auditor attestation of internal control over financial reporting³
• On EDGAR sinceMay 15, 1996¹
• Filings1,785 in all: 4 (503), 8-K (434), 5 (88), 10-Q (73), SC 13G/A (67), 3 (60), 424B3 (45), S-8 (36)¹
  All 64 form types

  SC 13G (36), 424B5 (32), CORRESP (31), DEF 14A (29), UPLOAD (26), S-3 (24), 10-K (23), EFFECT (21), PRE 14A (20), 10QSB (17), 4/A (16), 8-K/A (16), CT ORDER (14), D (13), 10-K/A (12), SC 13D/A (12), ARS (10), NT 10-Q (10), S-1 (10), S-1/A (10), SC 13D (10), S-3/A (9), NT 10-K (7), 10KSB (6), DEFA14A (6), PRER14A (5), DEF 14C (4), FWP (4), REGDEX (4), 10-Q/A (3), 10KSB/A (3), 5/A (3), SD (3), 10QSB/A (2), 424B4 (2), 8-A12G (2), DEFR14A (2), PRE 14C (2), S-4/A (2), SEC STAFF LETTER (2), 10KSB40 (1), 25-NSE (1), 8-A12B (1), CERT (1), D/A (1), DEL AM (1), NO ACT (1), NT 10-Q/A (1), POS AM (1), PREM14A (1), PRER14C (1), RW (1), S-1MEF (1), S-3MEF (1), S-4 (1), SCHEDULE 13G/A (1)

• Latest filingsAnnual report (10-K) Apr 15, 2025
  Quarterly report (10-Q) Nov 19, 2025
  Proxy statement (DEF 14A) Aug 8, 2025
  Latest 8-K (8-K) Jul 22, 2026

Securities registered for trading

From the cover page of the 10-K filed Apr 15, 2025 (Section 12(b) of the Exchange Act).³

Risk factors and legal proceedings

The risks WINDTREE THERAPEUTICS INC /DE/ names in Item 1A of its 10-K filed Apr 15, 2025: 75 risks under these headings, as written.³

• Information concerning the shares of our common stock and related share prices in these risk factors has been adjusted to reflect the 1-for-18 reverse split of our common stock that was made effective on April 19, 2024 and the 1-for-50 reverse split of our common stock that was made effective on February 20, 2025.
• Risks Related to Our Finances and Capital Requirements
• Our current cash position, losses, negative cash flows from operations, and accumulated deficit raise substantial doubt about our ability to continue as a going concern absent obtaining adequate new debt or equity financings. Our ability to continue as a going concern requires that we obtain sufficient funding to finance our operations in the near term.
• We have incurred significant operating losses since inception, we expect to incur operating losses in the future, and we may not be able to achieve or sustain profitability.
• We have incurred indebtedness, which could adversely affect our operating flexibility and financial condition.
• We will require substantial additional financing to achieve our goals, and a failure to obtain this necessary capital when needed on acceptable terms, or at all, could force us to delay, limit, reduce or terminate our product development programs, or other operations.
• As a result of our failure to timely file our Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2024 with the SEC, we are currently ineligible to file new registration statements on Form S-3, which may impair our ability to raise capital in a timely manner or at all.
• Our strategy to expand our pipeline on our own, through acquisitions of early-stage product candidates, or through research partnerships, may not be successful.
• Raising additional capital may cause dilution to our stockholders, restrict our operations or require us to relinquish rights to our technologies or product candidates.
• Unstable market and economic conditions may have serious adverse consequences on our business, financial condition, and stock price.
• Our business could be adversely affected by economic downturns, changes in inflation and interest rates, changes in trade policy, political crises, geopolitical events, such as the ongoing war between Russia and Ukraine and the war involving Israel, or other macroeconomic conditions, which may in the future negatively impact our business and financial performance.
• Natural disasters, including those resulting from significant climate change, could adversely affect our business and our third-party partners’ businesses.

Legal proceedings

We are not aware of any pending legal actions that would, if determined adversely to us, have a material adverse effect on our business and operations.

We may be subject to other legal proceedings and claims in the ordinary course of business. We cannot predict the results of any such disputes, and despite the potential outcomes, the existence thereof may have an adverse material impact on us due to diversion of management time and attention as well as the financial costs related to resolving such disputes.

The opening of Item 3, Legal Proceedings.³