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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>&nbsp;</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>UNITED STATES</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Washington, D.C. 20549</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">___________________________</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>FORM 8-K</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>CURRENT REPORT</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Pursuant to Section 13 or 15(d) of the</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Securities Exchange Act of 1934</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>June </b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>30</b><b>, 201</b><b>7</b></font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Date of Report (Date of earliest event reported)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Windtree Therapeutics</b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>, Inc.</b></font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Exact name of registrant as specified in its charter)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Delaware</b></p>
			</td>
			<td style="vertical-align:top;width:37.3%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>000-26422</b></p>
			</td>
			<td style="vertical-align:top;width:32.1%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>94-3171943</b></p>
			</td>
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			<td style="vertical-align:top;width:30.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(State or other jurisdiction</p>

			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">of incorporation)</p>
			</td>
			<td style="vertical-align:top;width:37.3%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Commission File Number)</p>
			</td>
			<td style="vertical-align:top;width:32.1%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(IRS Employer</p>

			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Identification Number)</p>
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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>2600 Kelly Road, Suite 100</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Warrington, Pennsylvania 18976</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Address of principal executive offices)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>(215) 488-9300</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Registrant&#39;s telephone number, including area code)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Former name or former address, if changed since last report)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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<div id="PGNUM" style="text-align: center; width: 100%">&nbsp;</div>

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<div id="PGHDR" style="text-align: left; width: 100%">&nbsp;</div>
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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 5.03<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font></b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</b></font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Reference is made to Item 5.07 of this Current Report on Form 8-K. On June 30, 2017<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">, Windtree Therapeutics, Inc. (the &ldquo;Company&rdquo;), filed a Certificate of Amendment (&ldquo;Amendment&rdquo;) to its Amended and Restated Certificate of Incorporation to increase the number of shares of common stock, par value $.001 per share (&ldquo;Common Stock&rdquo;) authorized thereunder from 60 million shares to 120 million shares. A copy of the Amendment is filed as Exhibit 3.1 hereto and is incorporated herein by reference. The Amendment was approved by the stockholders of the Company at its Annual Meeting of Stockholders held on June 30, 2017 (&ldquo;Annual Meeting&rdquo;). </font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 5.07<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Submission of Matters to a Vote of Securityholders.</font></b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">On June <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">30, 2017, the following matters were voted on by the stockholders at the Company&rsquo;s Annual Meeting: (i) the election of five directors; (ii) ratification of the appointment of Ernst &amp; Young LLP as the Company&rsquo;s independent registered public accounting firm for the fiscal year ending December 31, 2016; (iii) an amendment of the Company&rsquo;s 2011 Long-Term Incentive Plan (the &ldquo;2011 Plan Amendment&rdquo;), (iv) an amendment of the Company&rsquo;s Amended and Restated Certificate of Incorporation; and (v) </font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">the approval, on an advisory basis, of the compensation of the Company&rsquo;s named executive officers, as described in the Company&rsquo;s 2017 proxy statement. The results of the stockholder votes are as follows:</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(i)<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Election of Directors: each of the nominees for director was elected by a plurality of the votes cast by stockholders as follows:</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL2" style="margin-left:3.9%;width:94.2%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

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			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">For</p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">Withheld</p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Broker Non-Votes</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">John R. Leone</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,595,848</font></p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">309<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,510</font></p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:13.5pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Craig Fraser</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,607,386</font></p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">297<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,972</font></p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:13.5pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Joseph M. Mahady</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,599,949</font></p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">305<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,409</font></p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:13.5pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Bruce A. Peacock.</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,587,712</font></p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">317<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,646</font></p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:13.5pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:27.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Marvin E. Rosenthale, Ph.D.</p>
			</td>
			<td style="vertical-align:top;width:20.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,603,401</font></p>
			</td>
			<td style="vertical-align:top;width:26.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:18pt;margin-top:0pt;text-align:center;">301<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,957</font></p>
			</td>
			<td style="vertical-align:top;width:25.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:13.5pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(ii)<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Ratification of the appointment of Ernst &amp; Young LLP as the Company&rsquo;s independent registered public accounting firm: this proposal was approved by a majority of shares present at the meeting and, therefore, was adopted. The vote was as follows:</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL3" style="margin-left:3.9%;width:94.2%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:28.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">For</p>
			</td>
			<td style="vertical-align:top;width:36.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Against</p>
			</td>
			<td style="vertical-align:top;width:34.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Abstain</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:28.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">6<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,832,533</font></p>
			</td>
			<td style="vertical-align:top;width:36.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">341<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,655</font></p>
			</td>
			<td style="vertical-align:top;width:34.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">173<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,882</font></p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(iii)<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The 2011 Plan Amendment </font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">to increase the number of shares of Common Stock available for issuance under the 2011 Plan from 1,978,572 to 2,728,572 was approved by the affirmative vote of a majority of the votes cast with respect to the shares of common stock present in person or represented by proxy at the meeting and entitled to vote on the proposal and was, therefore, adopted. The vote was as follows: </font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL4" style="margin-left:3.9%;width:94.2%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:22.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">For</p>
			</td>
			<td style="vertical-align:top;width:22.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Against</p>
			</td>
			<td style="vertical-align:top;width:24.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Abstain</p>
			</td>
			<td style="vertical-align:top;width:30.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:30.15pt;margin-top:0pt;text-align:center;">Broker Non-Votes</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:22.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,509,584</font></p>
			</td>
			<td style="vertical-align:top;width:22.4%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">355<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,029</font></p>
			</td>
			<td style="vertical-align:top;width:24.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">40<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,745</font></p>
			</td>
			<td style="vertical-align:top;width:30.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:30.15pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">(iv)<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The amendment of the Company&rsquo;s Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock, par value $.001 per share available for issuance by the Company from 60 million to 120 million was approved by a majority of the outstanding shares eligible to vote on the proposal and was, therefore, adopted. The vote was as follows:</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL5" style="margin-left:3.9%;width:94.2%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:28.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">For</p>
			</td>
			<td style="vertical-align:top;width:36.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Against</p>
			</td>
			<td style="vertical-align:top;width:34.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Abstain</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:28.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">5<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,460,247</font></p>
			</td>
			<td style="vertical-align:top;width:36.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,687,710</font></p>
			</td>
			<td style="vertical-align:top;width:34.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">200<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,113</font></p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<div id="PGBK" style="width: 100%; margin-left: 0pt; margin-right: 0pt">
<div id="PGNUM" style="text-align: center; width: 100%">&nbsp;</div>

<hr style="PAGE-BREAK-AFTER: always; border: none; width: 100%; height: 2px; color: #000000; background-color: #000000">
<div id="PGHDR" style="text-align: left; width: 100%">&nbsp;</div>
</div>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">v)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;The compensation of the Company&rsquo;s named executive officers was approved, on an advisory basis, by a majority of the votes cast with respect to shares of common stock present in person or represented by proxy at the meeting and entitled to vote on the proposal. The vote was as follows:</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL6" style="margin-left:2%;width:93.3%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:21.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">For</p>
			</td>
			<td style="vertical-align:top;width:22.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Against</p>
			</td>
			<td style="vertical-align:top;width:24.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">Abstain</p>
			</td>
			<td style="vertical-align:top;width:30.9%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:30.15pt;margin-top:0pt;text-align:center;">Broker Non-Votes</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:21.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,439,762</font></p>
			</td>
			<td style="vertical-align:top;width:22.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">390<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,897</font></p>
			</td>
			<td style="vertical-align:top;width:24.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;">74<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">,699</font></p>
			</td>
			<td style="vertical-align:top;width:30.9%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:0pt;margin-right:30.15pt;margin-top:0pt;text-align:center;">5,442,712</p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 9.01. Financial Statements and Exhibits.</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(d)<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Exhibits</font></p>

<table align="center" border="0" cellpadding="0" cellspacing="0" id="TBL7" style="width:97%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:5.8%;">&nbsp;</td>
			<td style="vertical-align:top;width:7.9%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u>3.1</u></p>
			</td>
			<td style="vertical-align:top;width:86.2%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Certificate of Amendment to the Amended and Restated Certificate of Incorporation of <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">Windtree Therapeutics, Inc. filed on June 30, 2017.</font></p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SIGNATURES</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL8" style="width:100%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:40.3%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Windtree Therapeutics</b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>, Inc.</b></font></p>
			</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:5.8%;">&nbsp;</td>
			<td style="vertical-align:top;width:34.5%;">&nbsp;</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:5.8%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">By:</p>
			</td>
			<td style="vertical-align:top;border-bottom:solid 1px #000000;;width:34.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/<font style="font-family:Times New Roman, Times, serif;font-size:10pt;"> Craig Fraser</font></p>
			</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:5.8%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:34.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Name: <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">Craig Fraser</font></p>
			</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:5.8%;">&nbsp;</td>
			<td style="vertical-align:top;width:34.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Title: <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">President and Chief Executive Officer </font></p>
			</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:48.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:5.8%;">&nbsp;</td>
			<td style="vertical-align:top;width:34.5%;">&nbsp;</td>
			<td style="vertical-align:top;width:11.6%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
			</td>
		</tr>

</table>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date: <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">June 30, 2017</font></p>
</body>
</html>
[{"type": "8-K", "sequence": "1", "filename": "wint20170630_8k.htm", "description": "FORM 8-K", "secsgml_size_bytes": 34059}]
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wint20170630_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
June
30
, 201
7
Date of Report (Date of earliest event reported)
Windtree Therapeutics
, Inc.
(Exact name of registrant as specified in its charter)
Delaware
000-26422
94-3171943
(State or other jurisdiction
of incorporation)
(Commission File Number)
(IRS Employer
Identification Number)
2600 Kelly Road, Suite 100
Warrington, Pennsylvania 18976
(Address of principal executive offices)
(215) 488-9300
(Registrant's telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.03
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
Reference is made to Item 5.07 of this Current Report on Form 8-K. On June 30, 2017
, Windtree Therapeutics, Inc. (the "Company"), filed a Certificate of Amendment ("Amendment") to its Amended and Restated Certificate of Incorporation to increase the number of shares of common stock, par value $.001 per share ("Common Stock") authorized thereunder from 60 million shares to 120 million shares. A copy of the Amendment is filed as Exhibit 3.1 hereto and is incorporated herein by reference. The Amendment was approved by the stockholders of the Company at its Annual Meeting of Stockholders held on June 30, 2017 ("Annual Meeting").
Item 5.07
Submission of Matters to a Vote of Securityholders.
On June
30, 2017, the following matters were voted on by the stockholders at the Company's Annual Meeting: (i) the election of five directors; (ii) ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2016; (iii) an amendment of the Company's 2011 Long-Term Incentive Plan (the "2011 Plan Amendment"), (iv) an amendment of the Company's Amended and Restated Certificate of Incorporation; and (v)
the approval, on an advisory basis, of the compensation of the Company's named executive officers, as described in the Company's 2017 proxy statement. The results of the stockholder votes are as follows:
(i)
Election of Directors: each of the nominees for director was elected by a plurality of the votes cast by stockholders as follows:
For
Withheld
Broker Non-Votes
John R. Leone
1
,595,848
309
,510
5,442,712
Craig Fraser
1
,607,386
297
,972
5,442,712
Joseph M. Mahady
1
,599,949
305
,409
5,442,712
Bruce A. Peacock.
1
,587,712
317
,646
5,442,712
Marvin E. Rosenthale, Ph.D.
1
,603,401
301
,957
5,442,712
(ii)
Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm: this proposal was approved by a majority of shares present at the meeting and, therefore, was adopted. The vote was as follows:
For
Against
Abstain
6
,832,533
341
,655
173
,882
(iii)
The 2011 Plan Amendment
to increase the number of shares of Common Stock available for issuance under the 2011 Plan from 1,978,572 to 2,728,572 was approved by the affirmative vote of a majority of the votes cast with respect to the shares of common stock present in person or represented by proxy at the meeting and entitled to vote on the proposal and was, therefore, adopted. The vote was as follows:
For
Against
Abstain
Broker Non-Votes
1
,509,584
355
,029
40
,745
5,442,712
(iv)
The amendment of the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock, par value $.001 per share available for issuance by the Company from 60 million to 120 million was approved by a majority of the outstanding shares eligible to vote on the proposal and was, therefore, adopted. The vote was as follows:
For
Against
Abstain
5
,460,247
1
,687,710
200
,113
(
v)     The compensation of the Company's named executive officers was approved, on an advisory basis, by a majority of the votes cast with respect to shares of common stock present in person or represented by proxy at the meeting and entitled to vote on the proposal. The vote was as follows:
For
Against
Abstain
Broker Non-Votes
1
,439,762
390
,897
74
,699
5,442,712
Item 9.01. Financial Statements and Exhibits.
(d)
Exhibits
3.1
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of
Windtree Therapeutics, Inc. filed on June 30, 2017.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Windtree Therapeutics
, Inc.
By:
/s/
Craig Fraser
Name:
Craig Fraser
Title:
President and Chief Executive Officer
Date:
June 30, 2017