9,230,500 SHARES OF COMMON STOCK, AND WARRANTS EXERCISABLE INTO 9,230,500 SHARES OF COMMON STOCK, AND OF WINDTREE THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • March 24th, 2021 • 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 Oppenheimer & 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 • March 24th, 2021 • Windtree Therapeutics Inc /De/ • Biological products, (no disgnostic substances) • New York
WARRANT AGENCY AGREEMENT, dated as of March 25, 2021 (“Agreement”), between Windtree Therapeutics, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a New York corporation (the “Warrant Agent”).
