SEC Form SC 13G filed by Windtree Therapeutics Inc.

11/13/23 11:41:46 AM ET

Biotechnology: Biological Products (No Diagnostic Substances)

Health Care

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SC 13G 1 form13gfgf.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* WINDTREE THERAPEUTICS INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 97382D402 (CUSIP Number) October 9, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed [_] Rule 13d-1(b) [x] Rule 13d-1(c) [_] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. SCHEDULE 13G CUSIP No. 97382D402 1 Names of Reporting Persons Krishna Duvvuri 2 Check the appropriate box if a member of a Group (see instructions) (a) (b) 3 Sec Use Only 4 Citizenship or Place of Organization U.S.A. Number of Shares Beneficially Owned by Each Reporting Person With: 5 Sole Voting Power 326,900 6 Shared Voting Power 0 7 Sole Dispositive Power 326,900 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 326,900 10 Check box if the aggregate amount in row (9) excludes certain shares (See Instructions) [ ] 11 Percent of class represented by amount in row (9) 6.35% 12 Type of Reporting Person (See Instructions) IN Item 1. (a) Name of Issuer: WINDTREE THERAPEUTICS INC (b) Address of Issuers Principal Executive Offices: 2600 KELLY ROADSUITE 100WARRINGTON PA 18976 Item 2. (a) Name of Person Filing: Krishna Duvvuri (b) Address of Principal Business Office or, if None, Residence: 757 High Woods Dr., Franklin Lakes NJ, 07417 (c) Citizenship: U.S.A. (d) Title and Class of Securities: Common (e) CUSIP No.: 97382D402 Item 3. If this statement is filed pursuant to240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a (a) [_] Broker or dealer registered under Section 15 of the Act (b) [_] Bank as defined in Section 3(a)(6) of the Act (c) [_] Insurance company as defined in Section 3(a)(19) of the Act (d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G) (h) [_] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) [_] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (j) [_] A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J) (k) [_] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____ Item 4. Ownership (a) Amount Beneficially Owned: 326,900 (b) Percent of Class: 6.35% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 326,900 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 326,900 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of more than Five Percent on Behalf of Another Person. Item 7. Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person. Item 8. Identification and classification of members of the group. Item 9. Notice of Dissolution of Group. Item 10. Certifications. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated:11/9/2023 /s/ Krishna Duvvuri Krishna Duvvuri/Investor The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of this filing person) evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). Page 2 of 5 1297544.3

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SEC Form SC 13G filed by Windtree Therapeutics Inc.

11/13/23 11:41:46 AM ET

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Biotechnology: Biological Products (No Diagnostic Substances)

Health Care

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SEC Form SC 13G filed by Windtree Therapeutics Inc.

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SEC Form SC 13G filed by Windtree Therapeutics Inc.

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Press Releases

Windtree Therapeutics Announces the Sale of its Cardiovascular Biotech Pipeline Drug Candidates

Windtree Therapeutics Announces It Has Signed a Letter of Intent to Acquire CommLoan, Inc. a Revenue Generating Company in the Rapidly Growing Fintech Space

Windtree Therapeutics Announces It May Receive License Agreement Payments from Its Licensee for Renewed Acute Pulmonary Development by the Licensee

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SEC Filings

Windtree Therapeutics Inc. filed SEC Form 8-K: Leadership Update

Windtree Therapeutics Inc. filed SEC Form 8-K: Creation of a Direct Financial Obligation, Unregistered Sales of Equity Securities, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

SEC Form 424B3 filed by Windtree Therapeutics Inc.

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Insider Purchases

President and CEO Fraser Craig bought $4,942 worth of shares (5,431 units at $0.91), increasing direct ownership by 169% to 8,638 units (SEC Form 4)

Fraser Craig bought $2,550 worth of shares (2,500 units at $1.02), increasing direct ownership by 5% to 57,877 units (SEC Form 4)

Fraser Craig bought $2,250 worth of shares (2,500 units at $0.90), increasing direct ownership by 5% to 55,377 units (SEC Form 4)

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Analyst Ratings

Oppenheimer initiated coverage on Windtree Therapeutics with a new price target

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Insider Trading

SEC Form 3 filed by new insider Kucharchuk Andrew Albert

SEC Form 3 filed by new insider Kelly Leanne

President and CEO Fraser Craig bought $4,942 worth of shares (5,431 units at $0.91), increasing direct ownership by 169% to 8,638 units (SEC Form 4)

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Leadership Updates

Evofem Biosciences' CEO Saundra Pelletier Joins Aditxt Board of Directors

Windtree Announces the Addition of Leanne Kelly to Its Board of Directors

Windtree Announces Leadership Transition Plan With Industry Veterans

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Financials

Windtree Therapeutics Announces the Sale of its Cardiovascular Biotech Pipeline Drug Candidates

Windtree Therapeutics Reports First Quarter 2025 Financial Results and Provides Key Business Updates

Windtree Therapeutics Reports Year-End 2024 Financial Results and Provides Key Business Updates

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Large Ownership Changes

Amendment: SEC Form SC 13G/A filed by Windtree Therapeutics Inc.