SEC Comment Letter for WINDTREE THERAPEUTICS (WINT) — Jul 3, 2019
WINDTREE THERAPEUTICS INC /DE/ (WINT, WINTW) (CIK 0000946486)
Date: July 3, 2019 · CIK: 0000946486 · Accession: 0000000000-19-010760
AI Filing Summary & Sentiment
File numbers found in text: 000-26422
Letter
July 3, 2019 Craig E. Fraser President and Chief Executive Officer Windtree Therapeutics, Inc. 2600 Kelly Road, Suite 100 Warrington, Pennsylvania 18976-3622 Re:Windtree Therapeutics, Inc. Preliminary Information Statement on Schedule 14C Filed June 24, 2019 File No. 000-26422 Dear Mr. Fraser: We have reviewed your filing and have the following comment. Please respond to this comment within ten business days by providing the requested information or advise us as soon as possible when you will respond. If you do not believe our comment applies to your facts and circumstances, please tell us why in your response. After reviewing your response to this comment, we may have additional comments. Preliminary Information Statement on Schedule 14C filed June 24, 2019 The Share Issuance Proposal, page 9 1.As you are not currently listed on Nasdaq, and as you do not disclose the terms of a specific transaction, please expand your disclosure regarding the share issuance proposal to discuss the parameters of the advance authorization to issue securities, including whether and when the consent expires. We remind you that the company and its management are responsible for the accuracy and adequacy of their disclosures, notwithstanding any review, comments, action or absence of action by the staff.
FirstName LastNameCraig E. Fraser Comapany NameWindtree Therapeutics, Inc. July 3, 2019 Page 2 FirstName LastName Craig E. Fraser Windtree Therapeutics, Inc. July 3, 2019 Page 2 Please contact Irene Paik at 202-551-6553 or Mary Beth Breslin at 202-551-3625 with any questions. Sincerely, Division of Corporation Finance Office of Healthcare & Insurance cc: Brian Lee - Dentons US LLP
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July 3, 2019
Craig E. Fraser
President and Chief Executive Officer
Windtree Therapeutics, Inc.
2600 Kelly Road, Suite 100
Warrington, Pennsylvania 18976-3622
Re:Windtree Therapeutics, Inc.
Preliminary Information Statement on Schedule 14C
Filed June 24, 2019
File No. 000-26422
Dear Mr. Fraser:
We have reviewed your filing and have the following comment.
Please respond to this comment within ten business days by providing the requested
information or advise us as soon as possible when you will respond. If you do not believe our
comment applies to your facts and circumstances, please tell us why in your response.
After reviewing your response to this comment, we may have additional comments.
Preliminary Information Statement on Schedule 14C filed June 24, 2019
The Share Issuance Proposal, page 9
1.As you are not currently listed on Nasdaq, and as you do not disclose the terms of a
specific transaction, please expand your disclosure regarding the share issuance proposal
to discuss the parameters of the advance authorization to issue securities, including
whether and when the consent expires.
We remind you that the company and its management are responsible for the accuracy
and adequacy of their disclosures, notwithstanding any review, comments, action or absence of
action by the staff.
FirstName LastNameCraig E. Fraser
Comapany NameWindtree Therapeutics, Inc.
July 3, 2019 Page 2
FirstName LastName
Craig E. Fraser
Windtree Therapeutics, Inc.
July 3, 2019
Page 2
Please contact Irene Paik at 202-551-6553 or Mary Beth Breslin at 202-551-3625 with
any questions.
Sincerely,
Division of Corporation Finance
Office of Healthcare & Insurance
cc: Brian Lee - Dentons US LLP