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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to TFF Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39102 TFF PHARMACEUTICALS, INC. Nasdaq Capital Market (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 124 Wa |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| March 6, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 3, 2025 TFF PHARMACEUTICALS, INC. |
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| March 6, 2025 |
As filed with the Securities and Exchange Commission on March 6, 2025 As filed with the Securities and Exchange Commission on March 6, 2025 Registration No. |
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| February 4, 2025 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| February 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 28, 2025 TFF PHARMACEUTICALS, INC. |
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| December 23, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pro |
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| December 11, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| December 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2024 TFF PHARMACEUTICALS, INC. |
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| November 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTIC |
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| November 19, 2024 |
TFFP / TFF Pharmaceuticals, Inc. / CARLSON CAPITAL L P - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 87241J104 (CUSIP Number) November 15, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to de |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2024 TFF PHARMACEUTICALS, INC. |
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| November 14, 2024 |
TFFP / TFF Pharmaceuticals, Inc. / ARMISTICE CAPITAL, LLC Passive Investment SC 13G 1 armistice-tffp093024.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF PHARMACEUTICALS, Inc. (Name of Issuer) Common stock: Par value $0.001 (Title of Class of Securities) 87241J203 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropri |
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| November 14, 2024 |
TFF Pharmaceuticals Announces It Will Wind Down Operations Exhibit 99.1 TFF Pharmaceuticals Announces It Will Wind Down Operations Fort Worth, TX – November 14, 2024 – TFF Pharmaceuticals, Inc. (Nasdaq: TFFP) today announced that the Company has terminated its employees and will wind down its operations. This decision was made at a special meeting of the board of directors. The board of directors appointed Craig R. Jalbert, age 63, as the Company’s CEO, P |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTICALS, |
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| August 14, 2024 |
TFF Pharmaceuticals Reports Second Quarter Financial Results and Provides Corporate Update Exhibit 99.1 TFF Pharmaceuticals Reports Second Quarter Financial Results and Provides Corporate Update FORT WORTH, TX – August 14, 2024 – TFF Pharmaceuticals, Inc. (NASDAQ: TFFP) (“the Company”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today reported financial |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2024 TFF PHARMACEUTICALS, INC. |
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| August 6, 2024 |
Exhibit 99.1 TFF Pharmaceuticals Provides Continued Positive Outcomes from Tacrolimus Inhalation Powder (TFF TAC) Phase 2 Trial for the Prevention of Lung Transplant Rejection Patient enrollment has accelerated, now with 13 patients enrolled in trial TFF TAC at ~20% of the oral tacrolimus dose prevented acute rejection and achieved >80% of the previous oral trough blood levels - leading to diminis |
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| August 6, 2024 |
Exhibit 99.2 1 NASDAQ: TFFP TFF TAC Updated Phase 2 Clinical Data Release August 6, 2024 BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (“TFF”, “TFF Pharmaceuticals”, the “Company,” “we,” “us,” and “our”). The words “ |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2024 TFF PHARMACEUTICALS, INC. |
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| July 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 26, 2024 TFF PHARMACEUTICALS, INC. |
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| June 14, 2024 |
As filed with the Securities and Exchange Commission on June 14, 2024 As filed with the Securities and Exchange Commission on June 14, 2024 Registration No. |
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| June 14, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) TFF Pharmaceuticals, Inc. |
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| June 7, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 4, 2024 TFF PHARMACEUTICALS, INC. |
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| May 17, 2024 |
Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT May 17, 2024 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: TFF Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Definitions. The terms that follow, when used in this Agre |
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| May 17, 2024 |
Up to $2,055,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-275692 PROSPECTUS SUPPLEMENT (To Prospectus dated December 12, 2023) Up to $2,055,000 Shares of Common Stock We have entered into an At The Market Offering Agreement, or Sales Agreement, with H.C. Wainwright & Co., LLC, or Wainwright, dated May 16, 2024, relating to shares of our common stock, par value $0.001 per share, or common stock, offere |
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| May 17, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2024 TFF PHARMACEUTICALS, INC. |
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| May 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2024 TFF PHARMACEUTICALS, INC. |
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| May 14, 2024 |
Exhibit 99.1 TFF Pharmaceuticals Reports First Quarter Financial Results and Provides Corporate Update Growing Body of Clinical Data from Ongoing Phase 2 Trial Suggests that Tacrolimus Inhalation Powder (TFF TAC) Could Represent an Important New Innovation for Optimizing Immunosuppressive Therapy in Lung Transplant Recipients Raised $6.0 Million to Support Continued Advancement of TFF TAC into Pot |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTICALS, |
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| May 8, 2024 |
TFFP / TFF Pharmaceuticals, Inc. / CARLSON CAPITAL L P - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to de |
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| May 8, 2024 |
EX-99.1 2 ea020548601ex99-1tffpharma.htm JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing |
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| May 8, 2024 |
TFFP / TFF Pharmaceuticals, Inc. / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment SC 13G 1 ea0205486-13gintratffpharma.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF Pharmaceuticals, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 87241J203 (CUSIP Number) April 29, 2024 (Date of Event Which Requires Filing of this S |
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| May 2, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2024 TFF PHARMACEUTICALS, INC. |
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| May 2, 2024 |
Form of Securities Purchase Agreement Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of April 29, 2024, between TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditi |
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| May 2, 2024 |
TFF Pharmaceuticals Announces Closing of Pricing of $4.8 Million Public Offering Exhibit 99.2 TFF Pharmaceuticals Announces Closing of Pricing of $4.8 Million Public Offering Fort Worth, Texas – May 1, 2024 – TFF Pharmaceuticals, Inc (Nasdaq: TFFP) (the “Company” or “TFF Pharmaceuticals”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announ |
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| May 2, 2024 |
Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: May 1, 2024 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the d |
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| May 2, 2024 |
TFF Pharmaceuticals Announces Pricing of $4.8 Million Public Offering Exhibit 99.1 TFF Pharmaceuticals Announces Pricing of $4.8 Million Public Offering Fort Worth, Texas – April 29, 2024 – TFF Pharmaceuticals, Inc (Nasdaq: TFFP) (the “Company” or “TFF Pharmaceuticals”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced the |
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| May 2, 2024 |
Form of Placement Agent Warrant Exhibit 4.3 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: May 1, 2024 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or a |
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| May 2, 2024 |
Form of Series B Common Warrant Exhibit 4.1 COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: May 1, 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initi |
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| May 2, 2024 |
TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 May 2, 2024 TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 May 2, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Tamika N. Sheppard Re: TFF Pharmaceuticals, Inc. Registration Statement on Form S-1 File No. 333-278807 Acceleration Request Requested Date: Monday, May 6, 2024 Requested Time: 4:30 |
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| May 1, 2024 |
Filed Pursuant to Rule 424(b)(4) Registration Number 333-278546 TFF Pharmaceuticals, Inc. |
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| April 29, 2024 |
Exhibit 99.1 TFF TAC Data Presented at 44 th Annual ISHLT Meeting Late Breaking Abstract Oral Presentation April 13, 2024 BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions NASDAQ: TFFP 1 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (“TFF”, “TFF Pharmaceuticals”, th |
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| April 29, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) TFF Pharmaceuticals, Inc. |
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| April 29, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2024 TFF PHARMACEUTICALS, INC. |
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| April 29, 2024 |
As filed with the Securities and Exchange Commission on April 29, 2024 As filed with the Securities and Exchange Commission on April 29, 2024 Registration No. |
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| April 26, 2024 |
TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 April 26, 2024 TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 April 26, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Tamika N. Sheppard Re: TFF Pharmaceuticals, Inc. Registration Statement on Form S-1 File No. 333-278546 Acceleration Request Requested Date: Monday, April 29, 2024 Requested Time: |
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| April 25, 2024 |
Form of Series B Warrant to be issued in this offering Exhibit 4.8 COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: ,2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exe |
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| April 25, 2024 |
Form of Securities Purchase Agreement to be entered into by the Registrant in this offering Exhibit 10.7 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2024, between TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set |
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| April 25, 2024 |
Form of Pre-funded Warrant to be issued in this offering Exhibit 4.9 PRE-FUNDED COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: , 2024 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date h |
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| April 25, 2024 |
As filed with the Securities and Exchange Commission on April 25, 2024 As filed with the Securities and Exchange Commission on April 25, 2024 Registration No. |
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| April 25, 2024 |
Form of Placement Agent Warrant to be issued in this offering Exhibit 4.10 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT TFF PHARMACEUTICALS, INC. Warrant Shares: Initial Exercise Date: ,2024 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after |
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| April 22, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 22, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pro |
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| April 18, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) TFF Pharmaceuticals, Inc. |
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| April 18, 2024 |
As filed with the Securities and Exchange Commission on April 18, 2024 As filed with the Securities and Exchange Commission on April 18, 2024 Registration No. |
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| April 8, 2024 |
As filed with the Securities and Exchange Commission on April 8, 2024 As filed with the Securities and Exchange Commission on April 8, 2024 Registration No. |
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| April 8, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) TFF Pharmaceuticals, Inc. |
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| March 28, 2024 |
TFF Pharmaceuticals, Inc. Executive Officer Clawback Policy Exhibit 97.1 TFF PHARMACEUTICALS, INC. Executive Officer Clawback Policy Approved by the Board of Directors on October 19, 2023 (the “Adoption Date”) I. Purpose This Executive Officer Clawback Policy describes the circumstances under which Covered Persons of TFF Pharmaceuticals, Inc., a Delaware corporation and any of its direct or indirect subsidiaries (the “Company”) will be required to repay or |
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| March 28, 2024 |
TFF Pharmaceuticals Reports Fourth Quarter and Full Year 2023 Financial Results Exhibit 99.1 TFF Pharmaceuticals Reports Fourth Quarter and Full Year 2023 Financial Results FORT WORTH, TX – Mar 28, 2024 – TFF Pharmaceuticals, Inc. (NASDAQ: TFFP) (“the Company”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today reported financial results for th |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceuticals, Inc. (Exac |
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| March 28, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 28, 2024 TFF PHARMACEUTICALS, INC. |
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| March 27, 2024 |
Exhibit 99.1 TFF Pharmaceuticals Announces Updated Data from the Tacrolimus Inhalation Powder (TFF TAC) and Voriconazole Inhalation Powder (TFF VORI) Clinical Programs Eight of Eight Patients Successfully Transitioned from Oral Tacrolimus to TFF TAC with No Sign of Acute Rejection at Reduced Systemic Exposures Data from TFF VORI Phase 2 and EAP Program Continue to Demonstrate Antifungal Activity a |
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| March 27, 2024 |
Exhibit 99.2 1 NASDAQ: TFFP TFF TAC and TFF VORI Program Update March 27, 2024 – 4:30 PM EDT BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions 2 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (“TFF”, “TFF Pharmaceuticals”, the “Compa ny,” “we,” “us,” and “our”). The |
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| March 27, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 27, 2024 TFF PHARMACEUTICALS, INC. |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 20, 2024 TFF PHARMACEUTICALS, INC. |
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| March 22, 2024 |
TFF Pharmaceuticals, Inc. 147,500 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-275692 PROSPECTUS SUPPLEMENT (to the Prospectus dated December 12, 2023) TFF Pharmaceuticals, Inc. 147,500 Shares of Common Stock We are offering 147,500 shares (the “Shares”) of our common stock, par value $0.001 (the “common stock”), directly to institutional investors pursuant to this prospectus supplement and the accompanying prospectus. Th |
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| March 22, 2024 |
Form of Warrant issued to private placement investors in March 2024 private placement Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 22, 2024 |
Form of Securities Purchase Agreement, dated as of March 20, 2024 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 20, 2024, between TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditi |
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| March 22, 2024 |
Form of Warrant dated March 22, 2024 issued to H.C. Wainwright & Co., LLC Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 22, 2024 |
Exhibit 99.1 TFF Pharmaceuticals Announces $1.2 Million Registered Direct Offering Priced At-The-Market Under Nasdaq Rules Fort Worth, Texas – March 20, 2024 (GLOBE NEWSWIRE) – TFF Pharmaceuticals, Inc (Nasdaq: TFFP) (the “Company” or “TFF Pharmaceuticals”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film |
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| March 22, 2024 |
Exhibit 99.2 TFF Pharmaceuticals Announces Closing of $1.2 Million Registered Direct Offering Priced At-The-Market Under Nasdaq Rules Fort Worth, Texas – March 22, 2024 – TFF Pharmaceuticals, Inc (Nasdaq: TFFP) (the “Company” or “TFF Pharmaceuticals”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freez |
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| February 14, 2024 |
TFFP / TFF Pharmaceuticals, Inc. / LYTTON LAURENCE W Passive Investment SC 13G/A 1 tffpharm13ga2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the a |
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| December 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 15, 2023 TFF PHARMACEUTICALS, INC. |
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| December 19, 2023 |
Exhibit 3.1 Delaware Page 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF “TFF PHARMACEUTICALS, INC.”, FILED IN THIS OFFICE ON THE EIGHTEENTH DAY OF DECEMBER, A.D. 2023, AT 2:39 O’CLOCK P.M. AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTI |
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| December 19, 2023 |
Exhibit 99.2 1 NASDAQ: TFFP BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions TFF VORI and TFF TAC: Presentation of Initial Phase 2 Data December 19, 2023 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (“TFF”, “TFF Pharmaceuticals”, the “Company,” “we,” “us,” and “ou |
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| December 19, 2023 |
Exhibit 99.1 TFF Pharmaceuticals Announces Reverse Stock Split Common Stock Will Begin Trading on a Split-Adjusted Basis on December 19, 2023 FORT WORTH, Texas, December 15, 2023 - TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, |
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| December 19, 2023 |
Exhibit 99.3 TFF Pharmaceuticals Announces Positive Initial Data from Ongoing Phase 2 Trials of TFF VORI and TFF TAC Treatment with TFF VORI resulted in positive treatment outcomes based on clinical, mycologic and radiologic responses while maintaining a favorable safety/tolerability profile, with no all-cause mortality, no invasive pulmonary aspergillosis (IPA)-related mortality, and no TFF VORI |
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| December 15, 2023 |
TFF Pharmaceuticals Appoints Thomas B. King to Board of Directors Exhibit 99.1 TFF Pharmaceuticals Appoints Thomas B. King to Board of Directors FORT WORTH, Texas, Dec. 13, 2023 - TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced the appointment of Thomas B. King to its Board of |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 11, 2023 TFF PHARMACEUTICALS, INC. |
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| December 8, 2023 |
As filed with the Securities and Exchange Commission on December 8, 2023 As filed with the Securities and Exchange Commission on December 8, 2023 Registration No. |
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| December 8, 2023 |
TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 December 8, 2023 TFF Pharmaceuticals, Inc. 1751 River Run, Suite 400 Fort Worth, Texas 76107 December 8, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Tim Buchmiller Re: TFF Pharmaceuticals, Inc. Registration Statement on Form S-3 File No. 333-275692 Acceleration Request Requested Date: Tuesday, December 12, 2023 Requested Tim |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 8, 2023 TFF PHARMACEUTICALS, INC. |
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| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 1, 2023 TFF PHARMACEUTICALS, INC. |
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| December 4, 2023 |
TFF Pharmaceuticals Appoints Catherine Lee, J.D. to Board of Directors Exhibit 99.1 TFF Pharmaceuticals Appoints Catherine Lee, J.D. to Board of Directors FORT WORTH, Texas, Nov. 30, 2023 - TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced that Catherine Lee, J.D. has been appointed t |
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| December 4, 2023 |
TFF Pharmaceuticals Appoints Michael Patane, Ph.D., to Board of Directors Exhibit 99.2 TFF Pharmaceuticals Appoints Michael Patane, Ph.D., to Board of Directors FORT WORTH, Texas, Nov. 30, 2023 - TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced the appointment of Michael Patane, Ph.D., |
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| November 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 21, 2023 TFF PHARMACEUTICALS, INC. |
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| November 22, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TFF PHARMACEUTICALS, INC. TFF Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware does hereby certify: 1.That the certificate of incorporation is hereby amended by replacing Article FOURTH thereof with the following: |
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| November 21, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) TFF Pharmaceuticals, Inc. |
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| November 21, 2023 |
Exhibit 4.4 Form of Senior Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE OF THE |
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| November 21, 2023 |
Exhibit 4.5 Form of Subordinated Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE |
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| November 21, 2023 |
As filed with the Securities and Exchange Commission on November 21, 2023 As filed with the Securities and Exchange Commission on November 21, 2023 Registration No. |
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| November 21, 2023 |
Exhibit 4.2 TFF PHARMACEUTICALS, INC. and Trustee INDENTURE Dated as of SENIOR DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) I |
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| November 21, 2023 |
Form of Subordinated Indenture Exhibit 4.3 TFF PHARMACEUTICALS, INC. and Trustee INDENTURE Dated as of SUBORDINATED DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 31 |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTIC |
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| November 14, 2023 |
Exhibit 99.1 TFF Pharmaceuticals Reports Third Quarter 2023 Financial Results and Provides Corporate Update Company remains on track to report initial data from TFF VORI and TFF TAC Phase 2 trials by the end of 2023 Conference call and webcast, today Tuesday November 14, 2023, at 4:30 pm ET, to provide overview of expected data readouts from Phase 2 studies FORT WORTH, TX – Nov 14, 2023 – TFF Phar |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2023 TFF PHARMACEUTICALS, INC. |
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| November 14, 2023 |
Warrant dated August 17, 2023 issued to The Benchmark Company, LLC Exhibit 4.1 THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING AUGUST 17, 2023 (THE “EFF |
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| October 4, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| October 4, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pro |
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| September 22, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 30, 2023 TFF PHARMACEUTICALS, INC. |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 13, 2023 TFF PHARMACEUTICALS, INC. |
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| August 16, 2023 |
19,896,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (to the Prospectus dated November 23, 2020) 19,896,000 Shares of Common Stock We are selling 19,896,000 shares of our common stock. Our common stock is listed on the Nasdaq Stock Market under the symbol “TFFP.” On August 11, 2023, the last reported sales price of our common stock on the Nasdaq Stock Market was $0.42 |
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| August 15, 2023 |
TFF Pharmaceuticals Reports Second Quarter 2023 Financial Results And Provides Corporate Update Exhibit 99.3 TFF Pharmaceuticals Reports Second Quarter 2023 Financial Results And Provides Corporate Update ● Announced pricing of approximately $5 million equity financing (approximately $5.7 million if underwriter’s overallotment option is exercised in full); expected to extend cash runway through initial clinical data readouts and first quarter 2024 ● >80% of TFF VORI clinical sites activated, |
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| August 15, 2023 |
TFF Pharmaceuticals Announces Proposed Public Offering of Common Stock Exhibit 99.1 August 14, 2023 TFF Pharmaceuticals Announces Proposed Public Offering of Common Stock FORT WORTH, Texas, August 14, 2023 (GLOBE NEWSWIRE) – TFF Pharmaceuticals, Inc. (NASDAQ: TFFP) (the “Company”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today anno |
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| August 15, 2023 |
TFF Pharmaceuticals Prices $5 Million Public Offering of Common Stock Exhibit 99.2 August 15, 2023 TFF Pharmaceuticals Prices $5 Million Public Offering of Common Stock FORT WORTH, Texas, August 15, 2023 (GLOBE NEWSWIRE) – TFF Pharmaceuticals, Inc. (NASDAQ: TFFP) (the “Company”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today annou |
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| August 15, 2023 |
Exhibit 1.1 TFF PHARMACEUTICALS, inc. 19,896,000 SHARES OF COMMON STOCK UNDERWRITING AGREEMENT August 14, 2023 The Benchmark Company, LLC 150 East 58th Street, 17th Floor New York, NY 10155 Ladies and Gentlemen: TFF Pharmaceuticals, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to issue and sell to The Benchmark C |
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| August 15, 2023 |
Exhibit 99.4 1 NASDAQ: TFFP Corporate Update August 2023 BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc . (“TFF”, the “Company,” “we,” “us,” and “our”) . The words “believe,” “may,” “will,” “potentially,” “estimate,” “ |
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| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2023 TFF PHARMACEUTICALS, INC. |
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| August 14, 2023 |
SUBJECT TO COMPLETION, DATED AUGUST 14, 2023 Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying base prospectus are not an offer to sell and are |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTICALS, |
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| June 27, 2023 |
Explanatory Note; This prospectus supplement amends our prospectus supplement dated June 23, 2023 for purposes of correcting the link to our registration statement on Form S-3 included in the first sentence below. |
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| June 23, 2023 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus Supplement dated June 10, 2022 To Prospectus dated November 23, 2020) TFF PHARMACEUTICALS, INC. Up to $9,042,421 Common Stock, Representing a Reduction in TFF’s Current At-The-Market Offering This prospectus supplement amends and supplements the information in the prospectus, dated November 23, 2020, |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2023 TFF PHARMACEUTICALS, INC. |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2023 TFF PHARMACEUTICALS, INC. |
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| May 11, 2023 |
TFF Pharmaceuticals Provides Corporate Update and Reports First Quarter 2023 Financial Results Exhibit 99.1 TFF Pharmaceuticals Provides Corporate Update and Reports First Quarter 2023 Financial Results ● Initial Phase 2 data for TFF VORI and TFF TAC expected later this year ● Expanded compassionate use program for TFF VORI ● Entered into CRADA with National Institute of Environmental Health Sciences ● Extended contract with Leidos providing additional funding for TFF’s development of next- |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF PHARMACEUTICALS, |
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| April 6, 2023 |
First Amended and Restated Bylaws of the Registrant Exhibit 3.1 FIRST AMENDED AND RESTATED BYLAWS OF TFF PHARMACEUTICALS, INC., A DELAWARE CORPORATION TABLE OF CONTENTS Page Article I IDENTIFICATION; OFFICES 1 SECTION 1.1. Name 1 SECTION 1.2. Principal Office; Other Offices 1 Article II STOCKHOLDERS 1 SECTION 2.1. Annual Meeting 1 SECTION 2.2. Special Meeting 1 SECTION 2.3. Place of Stockholder Meetings 1 SECTION 2.4. Notice of Meetings 1 SECTION 2 |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2023 TFF PHARMACEUTICALS, INC. |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceuticals, Inc. (Exac |
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| March 31, 2023 |
Form of Warrant issued to investors in November 2022 follow-on offering Exhibit 4.5 EXERCISABLE ON OR AFTER NOVEMBER 22, 2022 AND UNTIL 5:00 P.M. (NEW YORK TIME) ON THE EXPIRATION DATE TFF PHARMACEUTICALS, INC. WARRANT CERTIFICATE Warrant No.: Number of Warrants: Date of Issuance: November 22, 2022 (“Issuance Date”) TFF Pharmaceuticals, Inc., a corporation duly organized and validly existing under the laws of the State of Delaware (the “Company”), hereby certifies tha |
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| March 31, 2023 |
Exhibit 3.2 State of Delaware Secretary of State Division of Corporation Delivered 03:56 PM 02/10/2023 FILED 03:56 PM 02/10/2023 SR 20230471583 - File Number 6725367 CERTIFICATE OF AMENDMENT OF SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TFF PHARMACEUTICALS, INC. TFF Pharmaceuticals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of th |
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| March 31, 2023 |
Executive Employment Agreement Between Zamaneh Mikhak, M.D. and Registrant Exhibit 10.11 TFF PHARMACEUTICALS, INC. EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (this “Agreement”) is entered into as of January 5th, 2023, by and between TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Zamaneh Mikhak, M.D. (“Executive”). R E C I T A L S WHEREAS, the Company considers it essential to its best interests and the best interests of its |
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| March 31, 2023 |
Executive Employment Agreement Between Harlan Weisman, M.D. and Registrant Exhibit 10.12 TFF PHARMACEUTICALS, INC. EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (this “Agreement”) is entered into on March 7, 2023, to be effective as of December 5, 2022 (the “Effective Date”), by and between TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Harlan Weisman, M.D. (“Executive”). R E C I T A L S WHEREAS, the Company considers it essen |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 2, 2023 TFF PHARMACEUTICALS, INC. |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 7, 2023 TFF PHARMACEUTICALS, INC. |
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| March 7, 2023 |
TFF Pharmaceuticals Reports Fourth Quarter 2022 and Full Year 2022 Financial Results Exhibit 99.1 TFF Pharmaceuticals Reports Fourth Quarter 2022 and Full Year 2022 Financial Results FORT WORTH, TX – Mar. 7, 2023 – TFF Pharmaceuticals, Inc. (NASDAQ: TFFP) (“the Company”), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today reported fourth quarter and |
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| February 17, 2023 |
Exhibit 99.1 TFF Pharmaceuticals 2023 Corporate Update Conference Call Script Thursday, February 16, 2023; 4:30 pm ET Event Speakers: Corey Davis Bill Begien Harlan Weisman Zamaneh Mikhak Operator Good morning, ladies and gentlemen, and welcome to the TFF Pharmaceuticals 2023 Corporate Update Conference Call. As a reminder, this conference is being recorded. I will now turn the call over to our ho |
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| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 16, 2023 TFF PHARMACEUTICALS, INC. |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 16, 2023 TFF PHARMACEUTICALS, INC. |
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| February 16, 2023 |
Exhibit 99.1 1 NASDAQ: TFFP Corporate Investor Presentation February 2023 BETTER DELIVERY, BETTER THERAPY | Powerful Drug Delivery Solutions 2 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc . (“TFF”, the “Company,” “we,” “us,” and “our”) . The words “believe,” “may,” “will,” “potentia |
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| February 14, 2023 |
TFFP / TFF Pharmaceuticals Inc / Lung Therapeutics, Inc. - SC 13G/A Passive Investment SC 13G/A 1 d388620dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 87241J104 (CUSIP Number) 12/31/2022 (Date of Event Which Requires Filing of this Statement) Check the appropri |
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| February 13, 2023 |
TFFP / TFF Pharmaceuticals Inc / LYTTON LAURENCE W Passive Investment SC 13G/A 1 tffpharm13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the a |
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| February 9, 2023 |
TFFP / TFF Pharmaceuticals Inc / CARLSON CAPITAL L P - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to de |
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| February 9, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 8, 2023 TFF PHARMACEUTICALS, INC. |
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| February 9, 2023 |
EX-99.I 2 d407072dex99i.htm EX-99.I EXHIBIT I JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of TFF Pharmaceuticals, Inc., and that this Joint Filing Agreeme |
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| January 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 5, 2023 TFF PHARMACEUTICALS, INC. |
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| December 27, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pro |
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| December 15, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| December 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2022 TFF PHARMACEUTICALS, INC. |
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| November 28, 2022 |
TFFP / TFF Pharmaceuticals Inc / CARLSON CAPITAL L P - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 87241J104 (CUSIP Number) November 22, 2022 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate th |
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| November 28, 2022 |
EXHIBIT I JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of TFF Pharmaceuticals, Inc. |
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| November 23, 2022 |
TFFP / TFF Pharmaceuticals Inc / LYTTON LAURENCE W Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 87241J104 (CUSIP Number) November 18, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| November 18, 2022 |
Form of Warrant sold in the offering Exhibit 4.1 FORM OF WARRANT EXERCISABLE ON OR AFTER NOVEMBER 22, 2022 AND UNTIL 5:00 P.M. (NEW YORK TIME) ON THE EXPIRATION DATE TFF PHARMACEUTICALS, INC. WARRANT TO PURCHASE COMMON STOCK Warrant No.: Number of Shares of Common Stock: Date of Issuance: , 2022 (?Issuance Date?) TFF Pharmaceuticals, Inc., a corporation duly organized and validly existing under the laws of the State of Delaware (the |
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| November 18, 2022 |
TFF Pharmaceuticals Prices $10.675 Million Offering of Common Stock and Warrants Exhibit 99.1 TFF Pharmaceuticals Prices $10.675 Million Offering of Common Stock and Warrants Fort Worth, Texas ? November 18, 2022 ? TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced that it has priced a $10.675 m |
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| November 18, 2022 |
Exhibit 1.1 Execution Version TFF PHARMACEUTICALS, INC. UNDERWRITING AGREEMENT 9,282,609 Shares COMMON STOCK ($0.001 par value) Warrants to Purchase 4,641,305 Shares November 17, 2022 JonesTrading Institutional Services LLC, as representative of the several underwriters JonesTrading Institutional Services LLC 211 E. 43rd Street New York, NY 10017 Ladies and Gentlemen: TFF Pharmaceuticals, Inc., a |
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| November 18, 2022 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus dated November 23, 2020) 9,282,609 Shares of Common Stock Warrants to Purchase up to 4,641,305 Shares of Common Stock TFF PHARMACEUTICALS, INC. We are offering 9,282,609 shares of our common stock and warrants to purchase up to 4,641,305 shares of our common stock pursuant to this prospectus supplemen |
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| November 18, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 17, 2022 TFF PHARMACEUTICALS, INC. |
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| November 17, 2022 |
Subject to completion, dated November 17, 2022 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| November 14, 2022 |
Exhibit 99.1 TFF Pharmaceuticals Reports Third Quarter 2022 Financial Results and Provides Business Update Clinical Proof-of-Concept Demonstrated in Compassionate Use in Two Case Studies with Voriconazole Inhalation Powder (TFF VORI) Growing Body of Peer-Reviewed Scientific Literature Provides Foundations for Expanding Applications of Thin Film Freezing Feasibility Study Agreement with Aptar Pharm |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2022 TFF PHARMACEUTICALS, INC. |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUT |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 7, 2022 TFF PHARMACEUTICALS, INC. |
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| October 6, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pro |
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| September 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2022 TFF PHARMACEUTICALS, INC. |
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| September 21, 2022 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pro |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICALS |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 11, 2022 TFF PHARMACEUTICALS, INC. |
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| August 11, 2022 |
EXHIBIT 99.1 TFF Pharmaceuticals Reports Second Quarter 2022 Financial Results and Provides Business Update Phase 2 Inhaled Voriconazole Powder and Inhaled Tacrolimus Powder Programs Continue to Advance Expands R&D Operations with New Austin, TX Facility Recent Feasibility Work Confirms Utility of Thin Film Freezing in Developing Next- Generation Vaccines Conference Call and Webcast Scheduled Toda |
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| June 10, 2022 |
Open Market Sale Agreement dated as of June 10, 2022 between the Company and Jefferies LLC EX-1.1 2 ea161325ex1-1tffpharmace.htm OPEN MARKET SALE AGREEMENT DATED AS OF JUNE 10, 2022 BETWEEN THE COMPANY AND JEFFERIES LLC Exhibit 1.1 OPEN MARKET SALE AGREEMENTSM June 10, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue |
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| June 10, 2022 |
Up to $35,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus dated November 23, 2020) Up to $35,000,000 Shares of Common Stock We have entered into an Open Market Sale Agreement?, or Sales Agreement, with Jefferies LLC, or Jefferies, dated June 10, 2022, relating to shares of our common stock, par value $0.001 per share, or common stock, offered by this prospec |
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| June 10, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 10, 2022 TFF PHARMACEUTICALS, INC. |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICAL |
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| May 11, 2022 |
EXHIBIT 99.1 TFF Pharmaceuticals Reports First Quarter 2022 Financial Results and Provides Business Update Announced Collaboration with Catalent to Further Expand Thin Film Freezing Applications with a Focus on Biologic Drug Development Announced Second CRADA Agreement with USAMRIID and Geneva Foundation to Develop Novel Therapies Using Thin Film Freezing to Combat SARS-CoV-2, Ebola, and Marburg V |
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| May 11, 2022 |
Exhibit 10.1 AMENDED AND RESTATED PATENT LICENSE AGREEMENT AGREEMENT No. PM 2202501 This Amended and Restated Patent License Agreement (the ?Patent License Agreement?) is made and entered into as of April 20, 2022 (?Amendment Effective Date?) by and between TFF Pharmaceuticals, Inc. (?Licensee?) and The University of Texas at Austin, on behalf of the Board of Regents of the University of Texas Sys |
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| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2022 TFF PHARMACEUTICALS, INC. |
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| March 24, 2022 |
Exhibit 99.2 1 Better Delivery, Better Therapy: Powerful Drug Delivery Solutions Corporate Investor Presentation March 2022 Nasdaq: TFFP 2 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (?TFF?, the ?Company,? ?we,? ?us,? and ?our?). The words ?believe,? ?may,? ?will,? ?potentially,? |
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| March 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 24, 2022 TFF PHARMACEUTICALS, INC. |
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| March 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceuticals, Inc. (Exac |
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| March 24, 2022 |
Exhibit 99.1 TFF Pharmaceuticals Reports Fourth Quarter and Full Year 2021 Financial Results and Provides Business Update Pipeline Advancement Continues with Ongoing Phase 2 Studies for Voriconazole and Tacrolimus Programs Partnership Activity Surrounding Thin Film Freezing Continues to Expand Reflecting the Technology?s Broad Applicability Across Molecule Type and Therapeutic Area Appoints Life S |
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| February 14, 2022 |
EXHBIIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of common stock, par value $0. |
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| February 14, 2022 |
TFFP / TFF Pharmaceuticals Inc / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TFF PHARMACEUTICALS, Inc. (Name of Issuer) Common stock: Par value $0.001 (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 14, 2022 |
TFFP / TFF Pharmaceuticals Inc / Lung Therapeutics, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 87241J104 (CUSIP Number) 12/31/2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 14, 2022 |
TFFP / TFF Pharmaceuticals Inc / Corriente Advisors, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t |
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| December 27, 2021 |
As filed with the Securities and Exchange Commission on December 27, 2021 As filed with the Securities and Exchange Commission on December 27, 2021 Registration No. |
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| December 21, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 21, 2021 TFF PHARMACEUTICALS, INC. |
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| December 21, 2021 |
Exhibit 99.1 1 Better Delivery, Better Therapy: Powerful Drug Delivery Solutions Corporate Investor Presentation December 2021 Nasdaq: TFFP 2 Safe Harbor Statement SPECIAL NOTE REGARDING FORWARD - LOOKING STATEMENTS This document contains forward - looking statements concerning TFF Pharmaceuticals, Inc. (?TFF?, the ?Company,? ?we,? ?us,? and ?our?). The words ?believe,? ?may,? ?will,? ?potentially |
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| November 16, 2021 |
EXHIBIT 99.1 TFF Pharmaceuticals Reports Third Quarter 2021 Financial Results and Provides Business Update Positive Updates Announced for Inhaled Voriconazole and Tacrolimus Programs; Both Programs Advancing into Phase 2 Testing Continued Progress with Partnered Antiviral Programs for AUG-3387 and Niclosamide Thin Film Freezing Applications Continue to Expand Across Diverse Set of Drug Candidates; |
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| November 16, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 15, 2021 TFF PHARMACEUTICALS, INC. |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUT |
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| November 10, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 4, 2021 TFF PHARMACEUTICALS, INC. |
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| September 23, 2021 |
TFF Pharmaceuticals, Inc. 2021 Stock Incentive Plan United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Pro |
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| August 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 12, 2021 TFF PHARMACEUTICALS, INC. |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICALS |
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| August 12, 2021 |
EXHIBIT 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports Second Quarter 2021 Financial Results and Provides Business Update Additional Data Readouts and Initiation of Pivotal Trials for Inhaled Tacrolimus and Voriconazole Programs Expected in 2H 2021 Multiple Ascending Dose (MAD) Study Demonstrates Inhaled Tacrolimus Inhalation Powder Achieves Blood Levels Sufficient for Efficacious Immunosu |
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| May 13, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2021 TFF PHARMACEUTICALS, INC. |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICAL |
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| May 13, 2021 |
EXHIBIT 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports First Quarter 2021 Financial Results and Provides Business Update Pivotal Trials to Begin in 2H-2021 for Voriconazole Inhalation Powder for the Treatment of Invasive Pulmonary Aspergillosis (IPA) and Tacrolimus Inhalation Powder for Immunosuppression in Solid Organ Transplantation Patent Filed for Once-a-Day Dosing for Tacrolimus Inhal |
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| April 29, 2021 |
Annual Report - AMENDMENT NO. 1 TO FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceu |
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| March 29, 2021 |
2,855,000 Shares TFF PHARMACEUTICALS, INC. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus dated November 23, 2020) 2,855,000 Shares TFF PHARMACEUTICALS, INC. Common Stock We are offering 2,140,000 shares of our common stock and the selling stockholder identified in this prospectus supplement is offering 715,000 shares of our common stock. We will not receive any proceeds from the sale of s |
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| March 26, 2021 |
TFF Pharmaceuticals Prices Offering of Common Stock Exhibit 99.1 TFF Pharmaceuticals Prices Offering of Common Stock AUSTIN, Texas, March 26, 2021 – TFF Pharmaceuticals, Inc. (Nasdaq: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (“TFF”) technology platform, today announced that it has priced an underwritten offering of 2,855,000 shares o |
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| March 26, 2021 |
EX-1.1 2 ea138463ex1-1tffpharma.htm UNDERWRITING AGREEMENT DATED AS OF MARCH 26, 2021 AMONG THE COMPANY, LUNG THERAPEUTICS, INC. AND ROTH CAPITAL PARTNERS LLC Exhibit 1.1 2,855,000 Shares TFF PHARMACEUTICALS, INC. COMMON STOCK PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT March 26, 2021 March 26, 2021 Roth Capital Partners, LLC As the Representative of the several underwriters 888 San Clemente |
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| March 26, 2021 |
Subject to completion, dated March 26, 2021 Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement related to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are |
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| March 26, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2021 TFF PHARMACEUTICALS, INC. |
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| March 10, 2021 |
EXHIBIT 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports Fourth Quarter Results and Full Year 2020 Financial and Business Results Reports positive Phase 1 study results for Voriconazole Inhalation Powder and Tacrolimus Inhalation Powder Awarded subcontract license by U.S. government agency to formulate biologic countermeasures to be used by the U.S. military Announces feasibility agreements |
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| March 10, 2021 |
Exhibit 10.11 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this ?Agreement?) is made and entered into as of September 24, 2020, to be effective as of September 15, 2020 (the ?Effective Date?), by and between TFF Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and Christopher Cano, an individual (?Employee?). RECITALS WHEREAS, Employee has |
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| March 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 10, 2021 TFF PHARMACEUTICALS, INC. |
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| March 10, 2021 |
EXHIBIT 4.4 DESCRIPTION OF THE CAPITAL STOCK TFF Pharmaceuticals, Inc. (?Company?, ?we?, ?us? and ?our?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, namely our common stock, par value $0.001 per share. The following is a summary of the rights of our common and of certain provisions of our Second Amended and Restated Certificate of Inc |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceuticals, Inc. (Exac |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 16, 2021 |
EX-99.A EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of common stock, par value $0.001 per share, of TFF Pharmaceuticals, Inc. dated as of February 16, 2021 is, and any amendments thereto signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 1 |
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| February 16, 2021 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to desig |
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| February 3, 2021 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate th |
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| December 8, 2020 |
550,000 Shares TFF PHARMACEUTICALS, INC. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus dated November 23, 2020) 550,000 Shares TFF PHARMACEUTICALS, INC. Common Stock This prospectus supplement and the accompanying base prospectus relates to the resale of up to 550,000 shares of our common stock held by the selling stockholder named herein to one or more institutional and accredited inve |
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| December 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2020 TFF PHARMACEUTICALS, INC. |
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| December 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2020 TFF PHARMACEUTICALS, INC. |
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| December 4, 2020 |
500,000 Shares TFF PHARMACEUTICALS, INC. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249870 PROSPECTUS SUPPLEMENT (To Prospectus dated November 23, 2020) 500,000 Shares TFF PHARMACEUTICALS, INC. Common Stock This prospectus supplement and the accompanying base prospectus relates to the resale of up to 500,000 shares of our common stock held by the selling stockholder named herein to one or more institutional and accredited inve |
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| November 19, 2020 |
Registration No. 333-249870 As filed with the Securities and Exchange Commission on November 19, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TFF Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 82-4344737 (State of incorporation) (I.R.S. Employer |
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| November 19, 2020 |
TFF Pharmaceuticals, Inc. 2600 Via Fortuna, Suite 360 Austin, Texas 78746 November 19, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Chris Edwards Re: TFF Pharmaceuticals, Inc. Registration Statement on Form S-3 File No. 333-249870 Acceleration Request Requested Date: Monday, November 23, 2020 Requested Time: |
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| November 5, 2020 |
Exhibit 4.4 Form of Senior Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE OF THE |
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| November 5, 2020 |
Form of Subordinated Indenture Exhibit 4.3 TFF PHARMACEUTICALS, INC. and Trustee INDENTURE Dated as of SUBORDINATED DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 31 |
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| November 5, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUT |
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| November 5, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 5, 2020 TFF PHARMACEUTICALS, INC. |
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| November 5, 2020 |
As filed with the Securities and Exchange Commission on November 5, 2020 Registration No. |
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| November 5, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports Third Quarter 2020 Financial and Business Results Signs Letter of Intent with Felix Biotechnology to license Thin Film Freezing technology for their bacteriophage products for lung inhalation Signs worldwide co-development agreement with Augmenta Bioworks for monoclonal antibody therapeutics Reports positive preclinical immunogenicity |
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| November 5, 2020 |
Exhibit 4.2 TFF PHARMACEUTICALS, INC. and Trustee INDENTURE Dated as of SENIOR DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) I |
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| November 5, 2020 |
Exhibit 4.5 Form of Subordinated Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE |
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| October 7, 2020 |
As filed with the Securities and Exchange Commission on October 7, 2020 Registration No. |
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| October 1, 2020 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2020 TFF PHARMACEUTICALS, INC. |
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| September 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 24, 2020 TFF PHARMACEUTICALS, INC. |
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| September 11, 2020 |
TFF Pharmaceuticals, Inc. 2600 Via Fortuna, Suite 360 Austin, Texas 78746 September 11, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: TFF Pharmaceuticals, Inc. Registration Statement on Form S-1 File No. 333-248673 Acceleration Request Requested Date: Tuesday, September 15, 2020 Requested T |
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| September 9, 2020 |
Registration Statement - REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on September 9, 2020 Registration No. |
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| August 28, 2020 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Pro |
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| August 13, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports Second Quarter 2020 Financial and Business Results Enters into worldwide license agreement with UNION Therapeutics for its Thin Film Freezing technology in combination with niclosamide Closes on $25.9 million private financing to further advance its technology platform for inhalable drug products, vaccines, biologics and botanicals Com |
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| August 13, 2020 |
Exhibit 10.1 AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT (“Amendment”) is entered into as of May 14, 2020 by and between TFF Pharmaceuticals, Inc., a Delaware corporation (“Company”), and Glenn Mattes (“Executive”). R E C I T A L A. The parties hereto have previously entered into that certain Executive Employment Agreement dated December |
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| August 13, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICALS |
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| August 13, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 13, 2020 TFF PHARMACEUTICALS, INC. |
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| August 11, 2020 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of August 10, 2020 by and among TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the “Investors” named in that certain Securities Purchase Agreement by and among the Company and the Investors, dated as of August 10, 2020 (the “Purchase Agreement”). Capi |
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| August 11, 2020 |
Exhibit 99.1 TFF Pharmaceuticals Announces $25.9 Million in Financing to Further Advance its Thin Film Freezing Technology Platform AUSTIN, TX – August 11, 2020 - TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug products based on its patented Thin Film Freezing (TFF) technology platform, today announced t |
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| August 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2020 TFF PHARMACEUTICALS, INC. |
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| August 11, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of August 10, 2020 by and among TFF Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the Investors identified on the signature pages attached hereto (each an “Investor” and collectively the “Investors”). RECITALS A. The Company and the Investors are executi |
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| May 14, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports First Quarter 2020 Financial and Business Results Maintains clinical progress with lead programs, Voriconazole Inhalation Powder and Tacrolimus Inhalation Powder Thin Film Freezing platform technology employed in numerous partnership programs for vaccine and anti-viral applications Conference call and live webcast scheduled for Thursda |
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| May 14, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2020 TFF PHARMACEUTICALS, INC. |
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| May 14, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-39102 TFF PHARMACEUTICAL |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceu |
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| March 27, 2020 |
Warrant dated October 29, 2019 issued to National Securities Corporation Exhibit 4.7 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY OTHER SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF (1) AN EFFECTIVE REGISTRATION STATEMENT COVERING SUCH SECURITIES UNDER THE SECURITIES ACT AND ANY OTHER APPLI |
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| March 27, 2020 |
Warrant dated November 20, 2019 issued to National Securities Corporation EX-4.8 3 f10k2019ex4-8tffpharma.htm WARRANT DATED NOVEMBER 20, 2019 ISSUED TO NATIONAL SECURITIES CORPORATION Exhibit 4.8 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY OTHER SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF |
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| March 27, 2020 |
Exhibit 21.1 The following are the wholly-owned subsidiaries of TFF Pharmaceuticals, Inc.: TFF Pharmaceuticals Australia Pty Ltd, an Australian company |
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| March 27, 2020 |
TFFP / TFF Pharmaceuticals, Inc. 10-K - Annual Report - ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39102 TFF Pharmaceuticals, Inc. (Exac |
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| March 26, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2020 TFF PHARMACEUTICALS, INC. |
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| March 26, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE TFF Pharmaceuticals Reports Fourth Quarter Results and Full Year 2019 Financial and Business Results Conference call and live webcast scheduled for Thursday, March 26, 2020 at 4:30pm EDT AUSTIN, TX - March 26, 2020 -TFF Pharmaceuticals, Inc. (NASDAQ: TFFP), a clinical-stage biopharmaceutical company focused on developing and commercializing innovative drug produc |
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| February 3, 2020 |
TFFP / TFF Pharmaceuticals, Inc. / Lung Therapeutics, Inc. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TFF Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 87241J104 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| January 31, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 27, 2020 TFF PHARMACEUTICALS, INC. |
