YHGJ / Yunhong Green CTI Ltd. - Документы SEC, Годовой отчет, Доверенное заявление

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2025 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2025 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incor

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 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 000-23115 YUNHONG G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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 Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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 Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 4, 2025 YUNHONG GREEN CTI LT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 4, 2025 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpor

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 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 000-23115 YUNHONG

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: May 31, 2025 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER NOTIFICATION OF LATE FILING CUSIP NUMBER (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: March 31, 2025 ☐ Transition Report o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorp

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorp

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2025 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorp

Notice from Nasdaq, dated April 24, 2025.

Exhibit 99.1

Incentive compensation recovery (Clawback) policy

Exhibit 97 Yunhong Green CTI Ltd. Executive Compensation Recovery Policy This policy covers Yunhong Green CTI Ltd’s (“YGCTI”) Covered Officers and explains when YGCTI will be required or authorized, as applicable, to seek recovery of Incentive Compensation awarded or paid to Covered Officers. Please refer to Exhibit A attached hereto (the “Definitions Exhibit”) for the definitions of capitalized t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 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 000-23115 YUNHONG GREEN C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: April 30, 2025 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER NOTIFICATION OF LATE FILING CUSIP NUMBER (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: December 31,2024 ☐ Transition Repo

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNH

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 YUNHONG GREEN CT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of inco

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEF 14A 1 formdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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))

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 21, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of inco

Notice from Nasdaq, dated October 21, 2024.

Exhibit 99.1

Asset Purchase Agreement, dated June 30, 2024, by and among the Company, Yunhong Environmental Protection Technology Co., Ltd., Yunhong China Group Co., Ltd., and Yunhong Technology Industry (Hubei) Co. Ltd.

EX-10.1 2 ex10-1.htm Exhibit 10.1 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”), effective as of June 30, 2024 is entered into between Yunhong Environmental Protection Technology Co., Ltd., a company formed under the laws of the People’s Republic of China (“Seller”), Yunhong China Group Co., Ltd., a company formed under the law of the People’s Republic of China and a pa

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNHONG G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNHONG

Yunhong Green CTI Ltd. Receives Non-Compliance Notification from Nasdaq Related to its Inability to file its 10-Q for the Period Ended March 31, 2024

Exhibit 99.2 Yunhong Green CTI Ltd. Receives Non-Compliance Notification from Nasdaq Related to its Inability to file its 10-Q for the Period Ended March 31, 2024 Prior Auditor Suspended from Practicing, Requiring Additional Work to be Performed Prior to issuing 2024 Filings LAKE BARRINGTON, IL, May 28, 2024 – Yunhong Green CTI Ltd. (Nasdaq: YHGJ) (“Yunhong Green CTI” or the “Company”), a leading

Notice from Nasdaq, dated May 22, 2024.

Exhibit 99.1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2024 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction of incorporation) (Commission File

Notice from Nasdaq, dated August 19, 2024

Exhibit 99.4

Letter from Nasdaq, dated July 24, 2024

Exhibit 99.3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 000-23115

NT 10-Q 1 formnt10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 000-23115 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K

Yunhong Green CTI Ltd. Receives Non-Compliance Notification from Nasdaq Related to its Inability to file its 10-Q for the Period Ended March 31, 2024

Exhibit 99.2 Yunhong Green CTI Ltd. Receives Non-Compliance Notification from Nasdaq Related to its Inability to file its 10-Q for the Period Ended March 31, 2024 Prior Auditor Suspended from Practicing, Requiring Additional Work to be Performed Prior to issuing 2024 Filings LAKE BARRINGTON, IL, May 28, 2024 – Yunhong Green CTI Ltd. (Nasdaq: YHGJ) (“Yunhong Green CTI” or the “Company”), a leading

Notice from Nasdaq, dated May 22, 2024.

Exhibit 99.1

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction of incorporation) (Commission File Nu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-23115

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-23115 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on

Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2024 YUNHONG GREEN CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpo

Letter from BFB dated April 2, 2024

Exhibit 16.1 Letter from BFB dated April 2, 2024 BF Borgers CPA PC Certified Public Accountants 5400 W Cedar Ave Lakewood, CO 80226 Telephone: 303.953.1454 Fax: 303.945.7991 April 2, 2024 United States Securities and Exchange Commission Office of the Chief Accountant 100 F Street, N.E. Washington, D.C. 20549 Re Yunhong Green CTI Ltd. Ladies and Gentlemen: We have read the statements under item 4.0

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ 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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-23115 YUNHONG GREEN C

Incentive compensation recovery (Clawback) policy

Exhibit 97 Yunhong Green CTI Ltd. Executive Compensation Recovery Policy This policy covers Yunhong Green CTI Ltd’s (“YGCTI”) Covered Officers and explains when YGCTI will be required or authorized, as applicable, to seek recovery of Incentive Compensation awarded or paid to Covered Officers. Please refer to Exhibit A attached hereto (the “Definitions Exhibit”) for the definitions of capitalized t

Stock Purchase Agreement (as to Series F Preferred Stock), dated March 11, 2024, by and between the Company and Agile Wisdom International Limited.

Exhibit 10.19 STOCK PURCHASE AGREEMENT By and Between YUNHONG GREEN CTI LTD. And AGILE WISDOM INTERNATIONAL LIMITED Effective as of March 11th, 2024 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated effective as of March 11, 2024, is entered into between and among Yunhong Green CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company

Certificate of Designations, Preferences and Rights of Series F Convertible Preferred Stock filed March 13, 2024.

Exhibit 3.10 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES F CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong Green CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following resolution was adopted by the Board of Directors of the Comp

Stock Purchase Agreement (as to Series E Preferred Stock), dated March 11, 2024, by and between the Company and Wickbur Holdings LLC.

Exhibit 10.17 STOCK PURCHASE AGREEMENT By and Between YUNHONG GREEN CTI LTD. And WICKBUR HOLDINGS LLC Effective as of March 11th, 2024 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated effective as of March 11, 2024, is entered into between and among Yunhong Green CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), a

Warrant, dated March 11, 2024, issued by the Company to Wickbur Holdings LLC.

Exhibit 10.18 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT RE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 YUNHONG GREEN CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission F

Warrant, dated March 11, 2024, issued by the Company to Agile Wisdom International Limited.

Exhibit 10.20 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT RE

Certificate of Designations, Preferences and Rights of Series E Convertible Preferred Stock filed March 13, 2024.

Exhibit 3.9 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES E CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong Green CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following resolution was adopted by the Board of Directors of the Compa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNH

Articles of Amendment

Exhibit 3.1

Amended and Restated By-Laws of Yunhong Green CTI Ltd (Incorporated by reference to Exhibit 3.2 contained in Registrant’s Form 8-K filed on September 6, 2023)

Exhibit 3.2 AMENDED AND RESTATED BY- LAWS OF YUNHONG GREEN CTI LTD. (August 29, 2023) ARTICLE I – OFFICES Section 1. Registered Office. The registered office shall be established and maintained at 22160 N. Pepper Road, Lake Barrington, Illinois 60010. Section 2. Other Offices. The Corporation may have other offices, either within or without the State of Illinois, at such place or places as the Boa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2023 YUNHONG GREEN CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2023 YUNHONG GREEN CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2023 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNHONG C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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 Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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 Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNHONG

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ 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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-23115 YUNHONG CTI LTD

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OMB APPROVAL UNITED STATES OMB Number 3235-0058 SECURITIES AND EXCHANGE COMMISSION Expires: March 31, 2025 Washington, D.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2023 YUNHONG CTI LTD. (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2023 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File Nu

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2023 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File

Exclusive Distribution Agreement

Exhibit 99.1 Exclusive Distribution Agreement This Exclusive Distribution Agreement (this “Agreement”), dated as of January 28, 2023 (the “Effective Date”), is entered into between Yunhong CTI Ltd., an Illinois corporation (“Distributor”), and (“FAIR”), a Kunshan Fair Craft Product Co. Ltd. (“Seller”, and together with Distributor, the “Parties”, and each, a “Party”). WHEREAS, Distributor is in th

Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2023 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File

Sent via electronic delivery

Exhibit 99.2 Sent via electronic delivery January 12, 2023 Frank Cesario CEO Yunhong CTI Ltd. 22160 North Pepper Road Barrington, IL 60010 RE: Yunhong CTI Ltd. (Symbol: CTIB) Nasdaq Listing Qualifications Hearings Docket No. NQ 6525C-22 Dear Mr. Cesario: The Nasdaq Hearings Panel (“Panel”) grants the request of Yunhong CTI Ltd. (the “Company”) to continue its listing on The Nasdaq Stock Market (“N

The Nasdaq Capital Market Initial Listing Requirements

Exhibit 99.1 NASDAQ REGULATION By Electronic Delivery to: [email protected] November 23, 2022 Mr. Frank Cesario Chief Executive Officer Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Re: Yunhong CTI Ltd. (the ?Company?) ? Staff Determination Nasdaq Symbol: CTIB Dear Mr. Cesario: As you are aware, on May 26, 2022, Staff notified the Company that the bid price of its listed

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events, Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2022 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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 000-23115 YUNH

Letter from LJSA dated November 14, 2022

Exhibit 16.1 Letter from LJSA dated November 14, 2022

Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2022 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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, 2022 ? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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 000-23115 YUNHONG C

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2022 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2022 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File Numb

Period below $1.00 bid price

Exhibit 99.1 Sent via Electronic Delivery to: [email protected] May 26, 2022 Mr. Frank Cesario Chief Executive Officer Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Re: Yunhong CTI Ltd. (the ?Company?) Nasdaq Security: Common Stock Nasdaq Symbol: CTIB Dear Mr. Cesario: As we discussed, our Listing Rules (the ?Rules?) require listed securities to maintain a minimum bid pr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the 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 Proxy State

Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 19, 2022 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? 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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-231

Audited financial statements of the Company’s subsidiary, Flexo Universal, S. de R.L. de C.V. for the period ended October 28, 2021.

Exhibit 99.1 FLEXO UNIVERSAL, S. DE R.L. DE C.V. INDEPENDENT AUDITOR?S REPORT AS OF OCTOBER 28, 2021 AND DECEMBER 31, 2020 Santa Rita No. 1110, Col. Chapalita Oriente, Zapopan, Jalisco, M?xico. C.P. 45040 TEL: +52 33 3647 2715 /33 3647 2732 / 33 3647 2752 EMAIL: [email protected] www.hlb.global 1 FLEXO UNIVERSAL, S. DE R.L. DE C.V. I N D E X 1.- Independent Auditors? Report. 2.- Balan

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2022 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File Nu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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: December 31, 2021 ? 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 o

Period below $1.00 bid price

Exhibit 99.1 Sent via Electronic Delivery to: [email protected] March 8, 2022 Mr. Frank Cesario Chief Executive Officer Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, Illinois 60010 Re: Yunhong CTI Ltd. (the ?Company?) Nasdaq Security: Common Stock Nasdaq Symbol: CTIB Dear Mr. Cesario: As we discussed, our Listing Rules (the ?Rules?) require listed securities to maintain a minimum

Sent via Electronic Delivery to:

Exhibit 99.2 Sent via Electronic Delivery to: [email protected] March 8, 2022 Mr. Frank Cesario Chief Executive Officer Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Re: Yunhong CTI Ltd. (the ?Company?) Nasdaq Symbol: CTIB Dear Mr. Cesario: On January 12, 2022, Staff notified the Company that it did not comply with Listing Rule 5620(a) (the ?Rule?), which requires that i

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2022 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File Num

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2022 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File

NASDAQ ONLINE RESOURCES

Exhibit 99.1 By Electronic Delivery to: [email protected] January 12, 2022 Mr. Frank Cesario Chief Executive Officer Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Re: Yunhong CTI Ltd. (the ?Company?) Nasdaq Symbol: CTIB Dear Mr. Cesario: I am following up on our recent telephone conversation in which I explained that since your Company has not yet held an annual meeting

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2022 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporati

Yunhong CTI Ltd. Appoints Frank Cesario as Chief Executive Officer and Adds Three New Independent Board Members

Exhibit 99.1 Yunhong CTI Ltd. Appoints Frank Cesario as Chief Executive Officer and Adds Three New Independent Board Members Cesario brings more than 20 years of manufacturing experience as former CEO of Company Three new directors bring extensive financial, operational and market experience LAKE BARRINGTON, IL, January 11, 2022 ? Yunhong CTI Ltd. (Nasdaq: CTIB) (?Yunhong CTI? or the "Company"), a

Employment Agreement (Offer Letter) between Frank Cesario and the Company dated December 29, 2021 (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Report on Form 8-K filed on January 11, 2022).

Exhibit 10.1 Yunhong CTI Ltd. December 29, 2021 Mr. Frank Cesario Re: Offer Letter Dear Frank: Yunhong CTI Ltd. (the ?Company?) is pleased to offer you the position of Chief Executive Officer on the following terms and conditions. Certain capitalized terms below that are not otherwise defined when first used are defined on Exhibit B: 1. Title: Chief Executive Officer, reporting to the Board of Dir

Stock Purchase Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on December 7, 2021).

Exhibit 10.1 STOCK PURCHASE AGREEMENT By and Between YUNHONG CTI LTD. And ICY MELLON LLC Dated as of December 1, 2021 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this ?Agreement?), dated as of December 1, 2021, is entered into between and among Yunhong CTI Ltd., an Illinois corporation (the ?Company? or ?CTI?), and ICY Mellon LLC, a Texas limited liability company (?Buyer?). RECITALS A

Warrant (Incorporated by reference to Exhibit 10.2 contained in Registrant’s Form 8-K filed on December 7, 2021).

Exhibit 10.2 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REG

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of inc

Certificate of Designations of Series D Convertible Preferred Stock (Incorporated by reference to Exhibit 3.1 contained in Registrant’s Form 8-K filed on December 7, 2021).

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES D CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the ?Company?), hereby certifies that the following resolution was adopted by the Board of Directo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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 Num

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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, 2021 ? 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 on For

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Loan and Security Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on October 6, 2021).

Exhibit 10.1 LOAN AND SECURITY AGREEMENT Yunhong CTI Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Date: September 30, 2021 (the ?Effective Date?) THIS LOAN AND SECURITY AGREEMENT (the ?Agreement?) is entered into on the above date between LINE FINANCIAL CORP. (including its successors and assigns, the ?Lender?), whose principal U.S. address is at 921 West New Hope Drive, Suite 702, Cedar Pa

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 6, 2021 YUNHONG CTI LTD. (Exact Name Of Registrant As Specified In Its Charter) Illinois (State or Other Jurisdiction of Incorporation) 000-23115 36-2848943 (Commission File N

Yunhong CTI Ltd. Announces New Credit Agreement

Exhibit 99.1 Yunhong CTI Ltd. Announces New Credit Agreement New Credit Terms Provide Increased Liquidity and Operational Runway LAKE BARRINGTON, IL, October X 2021 ? Yunhong CTI Ltd. (Nasdaq: CTIB) (?Yunhong CTI? or the "Company"), a leading manufacturer of custom film products, foil and latex novelty balloons, and flexible packaging products, announced today it has completed a refinancing of its

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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 0

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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: June 30, 2021 ? 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 on Form N-S

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2021 Yunhong CTI Ltd. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Stock Redemption Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on August 5, 2021).

Exhibit 10.1 STOCK REDEMPTION AGREEMENT Among YUNHONG CTI LTD. and KINGMAN DISTRIBUTIONS, S.A. DE C.V. and FLEXO UNIVERSAL, S DE RL DE CV AND PABLO GORTAZAR dated as of July 30, 2021 REDEMPTION AGREEMENT This Stock Redemption Agreement (this ?Agreement?), dated as of July 30, 2021, is entered into among KINGMAN DISTRIBUTIONS, S.A. DE C.V., a Mexican commercial corporation (?Kingman?), YUNHONG CTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Information Statement YUNHONG CTI LTD. (Name of Registrant

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation)

NASDAQ REGULATION

Exhibit 99.2 NASDAQ REGULATION Sent via Electronic Delivery to: [email protected] May 25, 2021 Ms. Jennifer Connerty Chief Financial Officer Yunhong CTI, Ltd. 22160 N. Pepper Road Lake Barrington, IL 60010 Re: Yunhong CTI Ltd. (the ?Company?) Dear Ms. Connerty: On December 21, 2020, Staff notified the Company that it did not comply with the minimum $2.5 million stockholders? equity, or $

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 YUNHONG CTI LTD. (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) (CUSIP Number) Jennifer Connert

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 YUNHONG CTI LTD. (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 125961 30 0 (CUSIP Number) Jennifer Connerty, Chief Financial Officer 22160 N. Pepper Road, Barrington, Illinois 60010 (847) 382-1000 (Name, Address and Telephone Number of Person A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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: March 31, 2021 ? 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 on Form N-

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 29, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Certificate of Designations, Preferences and Rights of Series B Redeemable Convertible Preferred Stock, No Par Value (Incorporated by reference to Exhibit 3.1 contained in Registrant’s Form 8-K/A filed on May 5, 2021).

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the ?Company?), hereby certifies that the following resolution was adopted by the Board of Directo

Purchase and Sale Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on April 29, 2021).

Exhibit 10.1 PURCHASE AND SALE AGREEMENT THIS PURCHASE AND SALE AGREEMENT (the ?Agreement?) is made as of April 23, 2021 (the ?Effective Date?), by and between YUNHONG CTI LTD., an Illinois corporation, f/k/a CTI Industries Corporation (?Seller?), and ICY MELLON LLC, a Texas limited liability company (?Purchaser?). W I T N E S S E T H: Seller is the owner of the ?Property? (more specifically defin

Lease Agreement (Incorporated by reference to Exhibit 10.2 contained in Registrant’s Form 8-K filed on April 29, 2021).

Exhibit 10.2 LEASE ICY MELLON LLC, LANDLORD, and YUNHONG CTI LTD., TENANT PREMISES: 22160 N. Pepper Road, Lake Barrington, Illinois TABLE OF CONTENTS ARTICLE I. Definitions 1 ARTICLE II. Demise and Term 3 ARTICLE III. Rent 3 ARTICLE IV. Completion and Occupancy 5 ARTICLE V. Use of the Demised Premises 5 ARTICLE VI. Repairs & Maintenance 6 ARTICLE VII. Alterations 7 ARTICLE VIII. Access to Demised

Promissory Note (Incorporated by reference to Exhibit 10.3 contained in Registrant’s Form 8-K filed on April 29, 2021).

Exhibit 10.3 $1,500,000.00 Barrington, Illinois April 23, 2021 PROMISSORY NOTE FOR VALUE RECEIVED, and on account of the Purchase Price set forth in that certain Purchase and Sale Agreement dated as of the date hereof (the "Purchase Agreement"), ICY MELLON LLC, a Texas limited liability company having its principal office at 22 East 78th Street, New York, New York 10075 (?Borrower?), hereby uncond

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2021 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of in

- FORM PRER14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Information Statement YUNHONG CTI LTD. (Name of Registrant

- FORM PRE 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ? Definitive Information Statement YUNHONG CTI LTD. (Name of Registrant

Audited financial statements of the Company’s subsidiary, Flexo Universal, S. de R.L. de C.V. for the year ended December 31, 2020.

Exhibit 99.1

Annual Report - FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? 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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-231

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

Form of Amendment No. 1 to Securities Purchase Agreement between Yunhong CTI Ltd. and LF International Pte. Ltd., dated March 29, 2021

Exhibit 10.1 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT This Amendment No. 1 dated as of March 29, 2021 (this “Amendment”) by and between Yunhong CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), and LF International Pte. Ltd., a Singapore company (“Buyer”), amends that certain Stock Purchase Agreement dated as of January 15, 2021 between

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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: December 31, 2020 ? 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 o

Certificate of Designations of Series C Convertible Preferred Stock (Incorporated by reference to Exhibit 3.1 contained in Registrant’s Form 8-K/A filed on May 5, 2021).

Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES C REDEEMABLE CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the ?Company?), hereby certifies that the following resolution was adopted by the Board

Amended and Restated Certificate of Designation of Series B Convertible Preferred Stock

EX-3.1 2 ex238501.htm EXHIBIT 3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B REDEEMABLE CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following r

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpora

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Certificate of Designation of Series C Convertible Preferred Stock

Exhibit 3.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES C REDEEMABLE CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following resolution was adopted by the Board of Directors of the

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2021 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Securities Purchase Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on January 15, 2021).

Exhibit 10.1 STOCK PURCHASE AGREEMENT By and Between YUNHONG CTI LTD. And LF International Pte. Ltd, Dated as of January 15, 2020 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated as of January 15, 2021, is entered into between and among Yunhong CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), and LF International

Certificate of Designation of Series C Convertible Preferred Stock

Exhibit 3.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES C REDEEMABLE CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, Yunhong CTI Ltd., a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following resolution was adopted by the Board of Directors of the

Notice from Nasdaq, dated December 21, 2020

Exhibit 10.1

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpora

Other Events - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpora

Stock Purchase Agreement (Incorporated by reference to Exhibit 10.1 contained in Registrant’s Form 8-K filed on November 25, 2020).

EX-10.1 3 ex215598.htm EXHIBIT 10.1 Exhibit 10.1 STOCK PURCHASE AGREEMENT By and Between YUNHONG CTI LTD. And Shuai Wang Dated as of November 24, 2020 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated as of November 17, 2020, is entered into between and among Yunhong CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”)

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpora

Certificate of Designation of Series B Convertible Preferred Stock

Exhibit 3.1

Articles of Amendment to Articles of Incorporation

Exhibit 3.1

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpora

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 Num

- FORM NT 10-Q

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, 2020 ☐ 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 on For

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporat

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorpor

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporati

- FORM DEF 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ☒ Definitive Information Statement YUNHONG CTI LTD. (Name of Registrant

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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 000-23115 YUNHONG C

- FORM NT 10-Q

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: June 30, 2020 ☐ 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 on Fo

- FORM PRE 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ☐ Definitive Information Statement YUNHONG CTI LTD. (Name of Registrant

NOTICE OF DEFAULT AND RESERVATION OF RIGHTS

Exhibit 99.1 July 17, 2020 VIA FEDERAL EXPRESS AND FACSIMILE Yunhong CTI Ltd. (f/k/a CTI Industries Corporation) 22160 N. Pepper Road Barrington, Illinois 60010 Attention: Stephen M. Merrick Facsimile: (847) 382-1219 NOTICE OF DEFAULT AND RESERVATION OF RIGHTS Ladies and Gentlemen: Reference is hereby made to (i) that certain Revolving Credit, Term Loan and Security Agreement, dated as of December

Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ 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

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 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, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employ

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation

Joint Filing Agreement, by and between the Reporting Persons.

Exhibit 99.4 JOINT FILING AGREEMENT AGREEMENT dated as of June 11, 2020 by and between LF International Pte. Ltd., a Singapore company, and Yubao Li (together, the “Parties”). Each Party hereto represents to the other Party that it is eligible to use Schedule 13D to report its or his beneficial ownership of common stock, no par value, and Series A Convertible Preferred Stock, no par value, of Yunh

CTIB / CTI Industries Corp. / LF International Pte. Ltd. - SCHEDULE 13D/A Activist Investment

SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* YUNHONG CTI LTD. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 125961300 (CUSIP Number) Frank Cesario President, Chief Executive Officer and Chief Financial Officer 22160 N. Pepper Road, Lake Barrington, IL 60010 Telephone: (7

- FORM DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the 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)) ☐ Defin

- FORM DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the 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)) ☒ Defin

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation)

Quarterly Report - FORM 10-Q/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A AMENDMENT NO. 1 TO FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition per

Quarterly Report - FORM 10-Q/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A AMENDMENT NO. 1 TO FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period

Quarterly Report - FORM 10-Q/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A AMENDMENT NO. 1 TO FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period f

Annual Report - FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ 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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-231

Audited financial statements of the Company’s subsidiary, Flexo Universal, S. de R.L. de C.V. for the year ended December 31, 2019.

Exhibit 99.1 FLEXO UNIVERSAL, S. DE R.L. DE C.V. INDEPENDENT AUDITOR’S REPORT AS OF DECEMBER 31 2019 AND 2018 Santa Rita No.1110 Col. Chapalita Oriente, Zapopan, Jalisco, México C.P. 45040 Teléfonos: +3647-2715, 3647-2732, 36472752 Facsímile: +3647-2728 E-mail [email protected], [email protected], www.hlbguadalajara.com.mx HLB Vargas Graf y Cía., S.C. is a member of Internationa

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation)

CTIB / CTI Industries Corp. / SCHWAN JOHN H - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 YUNHONG CTI LTD. (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 125961 30 0 (CUSIP Number) Frank Cesario, Chief Executive Officer and Chief Financial Officer 22160 N. Pepper Road, Barrington, Illinois 60010 (847) 382-1000 (Name, Address and Tele

CTIB / CTI Industries Corp. / Merrick Company, LLC - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 YUNHONG CTI LTD. (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 125961 30 0 (CUSIP Number) Frank Cesario, Chief Executive Officer and Chief Financial Officer 22160 N. Pepper Road, Barrington, Illinois 60010 (847) 382-1000 (Name, Address and Tele

JOINT FILING AGREEMENT

Exhibit 99.4 JOINT FILING AGREEMENT AGREEMENT dated as of April 23, 2020 by and between LF International Pte. Ltd., a Singapore company, and Yubao Li (together, the “Parties”). Each Party hereto represents to the other Party that it is eligible to use Schedule 13D to report its or his beneficial ownership of common stock, no par value, and Series A Convertible Preferred Stock, no par value, of Yun

CTIB / CTI Industries Corp. / LF International Pte. Ltd. - SCHEDULE 13D Activist Investment

SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* YUNHONG CTI LTD. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 125961300 (CUSIP Number) Frank Cesario President, Chief Executive Officer and Chief Financial Officer 22160 N. Pepper Road, Lake Barrington, IL 60010 Telephone: (78

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

Amendment No.2 to Securities Purchase Agreement dated as of April 13, 2020 (Incorporated by reference to Exhibit 10.1, contained in Registrant’s form 8-K filed on April 17, 2020

Exhibit 10.1 AMENDMENT NO. 2 TO SECURITIES PURCHASE AGREEMENT This Amendment No. 2 dated as of April 13, 2020 (this “Amendment”) by and between Yunhong CTI Ltd., a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), and LF International Pte. Ltd., a Singapore company (“Buyer”), amends that certain Stock Purchase Agreement dated as of January 3, 2020 between t

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

CTI Industries Announces Corporate Name Change to Yunhong CTI Ltd.

Exhibit 99.1 CTI Industries Announces Corporate Name Change to Yunhong CTI Ltd. ACCESSWIRE March 16, 2020 LAKE BARRINGTON, IL / ACCESSWIRE / March 16, 2020 / CTI Industries Corporation (Nasdaq:CTIB) ("CTI" or the "Company"), a leading manufacturer of custom film products, foil and latex novelty balloons, and flexible packaging products, announced today that it has completed its previously announce

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2020 YUNHONG CTI LTD. (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporatio

Articles of Amendment to the Registrant’s Articles of Incorporation (Incorporated by reference to Exhibit 3.1, contained in the Registrant’s form 8-K filed on March 16, 2020).

Exhibit 3.1

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of

Amendment No. 1 to Securities Purchase Agreement, dated as of February 24, 2020 (Incorporated by reference to Exhibit 10.1, contained in the Registrant’s form 8-K filed on February 26, 2020).

Exhibit 10.1 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT This Amendment No. 1 dated as of February 24, 2020 (this “Amendment”) by and between CTI Industries Corporation, a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), and LF International Pte. Ltd., a Singapore company (“Buyer”), amends that certain Securities Purchase Agreement dated as of January

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of

Amended and Restated Certificate of Designation of Series A Convertible Preferred Stock (Incorporated by reference to Exhibit 3.1, contained in the Registrant's form 8-K filed on February 19, 2020).

Exhibit 3.1

CTIB / CTI Industries Corp. DEF 14C - - FORM DEF 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ☒ Definitive Information Statement CTI INDUSTRIES CORP

CTIB / CTI Industries Corp. PRE 14C - - FORM PRE 14C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14A-6(e)(2)) ☐ Definitive Information Statement CTI INDUSTRIES CORP

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of

Extension Notice, dated January 13, 2020

Exhibit 99.1

Limited Waiver, Consent, Amendment No. 5 and Forbearance Agreement (Incorporated by reference to Exhibit 10.1, contained in the Registrant's form 8-K filed on January 16, 2020).

Exhibit 10.1

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of

Notice from Nasdaq dated January 2, 2020.

Exhibit 10.1 By Electronic Delivery to: [email protected] January 2, 2020 Mr. Frank J. Cesario Chief Financial Officer CTI Industries Corporation 22160 N. Pepper Road Lake Barrington, Illinois 60010 Re: CTI Industries Corporation (the “Company”) Nasdaq Symbol: CTIB Dear Mr. Cesario I am following up on our recent telephone conversation in which I explained that since your Company has not

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 2, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commiss

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commis

Letter of Intent dated December 5, 2019

Exhibit 10.1

CTI SIGNS LETTER OF INTENT TO SELL FLEXO INTERNTIONAL CONTINUES REFINANCING EFFORTS AND PLANS FACILITIES MOVE AND MAJOR COST SAVINGS

ex_167151.htm Exhibit 99.1 FOR IMMEDIATE RELEASE CTI SIGNS LETTER OF INTENT TO SELL FLEXO INTERNTIONAL CONTINUES REFINANCING EFFORTS AND PLANS FACILITIES MOVE AND MAJOR COST SAVINGS DECEMBER 11, 2019: CTI Industries Corporation (“CTI” or the “Company”) today announced that the Company has entered into a non-binding letter of intent to sell the capital stock of its Mexican subsidiary, Flexo Univers

Certificate of Designation of Series A Convertible Preferred Stock (Incorporated by reference to Exhibit 3.1, contained in Registrant's Form 8-K filed on January 3, 2020).

Exhibit 3.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK, NO PAR VALUE Pursuant to Section 6.10 of the Illinois Business Corporation Act, CTI Industries Corporation, a corporation organized and existing under the laws of the State of Illinois (the “Company”), hereby certifies that the following resolution was adopted by the Board of Directors of the C

Form of Limited Waiver, Consent, Amendment No. 5 and Forbearance Agreement

Exhibit 10.2 LIMITED WAIVER, CONSENT, AMENDMENT NO. 5 AND FORBEARANCE AGREEMENT This LIMITED WAIVER, CONSENT, AMENDMENT NO. 5 AND FORBEARANCE AGREEMENT (this "Agreement") dated as of January [ ], 2020, by and between CTI Industries Corporation, an Illinois corporation ("Borrower"), the other Credit Parties party hereto, the Lenders party hereto and PNC Bank, National Association, as Agent for all

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2020 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of i

Stock Purchase Agreement, dated as of January 3, 2020 (Incorporated by reference to Exhibit 10.1, contain in Registrants form 8-K filed on January 3, 2020).

Exhibit 10.1 STOCK PURCHASE AGREEMENT By and Between CTI INDUSTRIES CORPORATION And LF INTERNATIONAL PTE. LTD. Dated as of January 3, 2020 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated as of January 3, 2020, is entered into between and among CTI Industries Corporation, a corporation incorporated under the laws of the State of Illinois (the “Company” or “CTI”), an

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commis

Deficiency Letter, dated November 21, 2019, incorporated by reference to Exhibit 99.1 of the Company’s Current Report on Form 8-k dated November 26, 2019

Exhibit 10.1

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commi

CTIB / CTI Industries Corp. 10-Q - Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 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 Num

CTIB / CTI Industries Corp. NT 10-Q - - FORM NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 000-23115 CUSIP Number 125961300 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-SAR ☐ Form N-CSR For period ended: September 30, 2019 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tr

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 18, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commis

Amendment No. 4 and Forbearance Agreement dated October 18, 2019 (Incorporated by reference to Exhibit 10.1, contained in Registrant’s form 8-K filed on October 24, 2019).

Exhibit 10.1

CTIB / CTI Industries Corp. 10-Q - Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 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 0

CTIB / CTI Industries Corp. NT 10-Q - - FORM NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 000-23115 CUSIP Number 125961300 SEC File Number 000-54867 CUSIP Number 53190A 20 5 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-SAR ☐ Form N-CSR For period ended: June 30, 2019 ☐ Transition Report on Form 10-K ☐ Transition Report on F

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commissi

Notice of Default and Reservation of Rights dated August 1, 2019.

Exhibit 10.1

CTIB / CTI Industries Corp. 10-Q - Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 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

CTIB / CTI Industries Corp. NT 10-Q FORM NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 000-23115 CUSIP Number 125961300 SEC File Number 000-54867 CUSIP Number 53190A 20 5 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-SAR ☐ Form N-CSR For period ended: March 31, 2019 ☐ Transition Report on Form 10-K ☐ Transition Report on

CTI Industries Announces 2018 Fourth Quarter And Year End Financial Results

CTI Industries Announces 2018 Fourth Quarter And Year End Financial Results Management Views 2018 as a Turnaround Year with Further Changes Expected in 2019 Overview - CTI (or the "Company") management reiterates our commitment to a major capital event - Greater than an additional $3 million of annualized expense reductions planned for 2019 through upcoming changes in production operations - Simpl

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commission

Letter from Plante & Moran, PLLC dated April 19, 2019 (Incorporated by reference to Exhibit 16.1, contained in Registrant’s form 8-K filed on April 22, 2019).

Exhibit 16.1

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commissi

CTIB / CTI Industries Corp. FORM 10-K (Annual Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 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 000-2

Audited financial statements of the Company’s subsidiary, Flexo Universal, S. de R.L. de C.V. for the year ended December 31, 2018.

Exhibit 99

Amendment No.1 to Agreement among CTI, GLG, Page and H One dated January 21, 2019 (Incorporated by reference to Exhibit 10.19, contained in Registrant’s form 10-K filed on April 16, 2019).

Exhibit 10.19 EXHIBIT 10.19 SETTLEMENT AGREEMENT AND RELEASE This Settlement Agreement and Release ("Settlement Agreement") is entered into this 21st day of January, 2019, by and between GOD’S LITTLE GIFT, INC. d/b/a HELIUM AND BALLOONS ACROSS AMERICA and Gary Page (“Page”) (hereafter collectively “HABAA”) and CTI INDUSTRIES CORPORATION, (hereafter “CTI”). WHEREAS, on or about December 1, 2011, th

CTIB / CTI Industries Corp. FORM NT 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 000-23115 CUSIP Number 125961300 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-SAR ☐ Form N-CSR For period ended: December 31, 2018 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tra

AMENDMENT NO. 3 AND FORBEARANCE AGREEMENT

ex_137058.htm EXHIBIT 99.1 AMENDMENT NO. 3 AND FORBEARANCE AGREEMENT</

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commissio

CTIB / CTI Industries Corp. / Merrick Company, LLC - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 CTI INDUSTRIES CORPORATION (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 125961 30 0 (CUSIP Number) Jeffrey S. Hyland, Chief Executive Officer 22160 N. Pepper Road, Barrington, Illinois 60010 (847) 382-1000 (Name, Address and Telephone Number o

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2019 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commis

Subscription Agreement among Registrant and John H. Schwan dated December 21, 2018 (Incorporated by reference to Exhibit 10.1, contained in Registrant’s form 8-K filed on January 17, 2019).

EXHIBIT 10.1 SUBSCRIPTION AGREEMENT THE SECURITIES OFFERED HEREBY OF CTI INDUSTRIES CORPORATION HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY STATE SECURITIES LAWS. THE SECURITIES OFFERED HEREBY CANNOT BE SOLD, TRANSFERRED, ASSIGNED OR OTHERWISE DISPOSED OF EXCEPT IN COMPLIANCE WITH THE RESTRICTIONS ON TRANSFERABILITY CONTAINED IN THIS AGREEMENT AND

CTIB / CTI Industries Corp. / SCHWAN JOHN H - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 CTI INDUSTRIES CORPORATION (Name of Issuer) COMMON STOCK, NO PAR VALUE (Title of Class of Securities) 125961 30 0 (CUSIP Number) Jeffrey S. Hyland, Chief Executive Officer 22160 N. Pepper Road, Barrington, Illinois 60010 (847) 382-1000 (Name, Address and Telephone Number o

CTI INDUSTRIES ANNOUNCES INTENT TO DIVEST OPERATING AND ECONOMIC INTEREST IN CLEVER CONTAINER LLC

EXHIBIT 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE CTI INDUSTRIES ANNOUNCES INTENT TO DIVEST OPERATING AND ECONOMIC INTEREST IN CLEVER CONTAINER LLC Lake Barrington, IL – December 13, 2018 – CTI Industries Corporation (NASDAQ: CTIB) (“CTI” or “the Company”), a manufacturer and global marketer of novelty balloons, vacuum and flexible packaging and storage products, printed and laminated films, party g

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commi

CTIB / CTI Industries Corp. FORM RW

CTI Industries Corporation 22160 N. Pepper Rd. Lake Barrington, IL 60010 December 11, 2018 VIA EDGAR, EMAIL ([email protected]) AND OVERNIGHT COURIER Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Kathryn McHale Re: CTI Industries Corporation Request to Withdraw Registration Statement on Form S-1 Filed September 18, 2018 Fi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 27, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commi

Letter from Mr. Merrick dated November 27, 2018

EXHIBIT 10.1 STEPHEN M. MERRICK DEER PARK, ILLINOIS November 27, 2018 Board of Directors of CTI Industries Corporation c/o Jeffrey S. Hyland, President Gentlemen: After 42 years of service to our Company, I have concluded that it is time for me to retire as Chief Executive Officer. Accordingly, I am tendering my resignation as Chief Executive Officer of CTI Industries Corporation to be effective a

CTI INDUSTRIES ANNOUNCES LEADERSHIP TRANSITION Stephen Merrick Retires as CEO; CTI President Jeffrey Hyland Appointed Successor Reiterates Outlook for Improved Operating Performance in 2018 Terminates Proposed Subscription Rights Offering Due to Mark

EXHIBIT 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE CTI INDUSTRIES ANNOUNCES LEADERSHIP TRANSITION Stephen Merrick Retires as CEO; CTI President Jeffrey Hyland Appointed Successor Reiterates Outlook for Improved Operating Performance in 2018 Terminates Proposed Subscription Rights Offering Due to Market Conditions Lake Barrington, IL – November 29, 2018 – CTI Industries Corporation (NASDAQ: CTIB) (“CT

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commi

CTI INDUSTRIES ANNOUNCES 2018 THIRD QUARTER FINANCIAL RESULTS Reiterates Outlook for Improved Operating Performance in 2018

EXHIBIT 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE CTI INDUSTRIES ANNOUNCES 2018 THIRD QUARTER FINANCIAL RESULTS Reiterates Outlook for Improved Operating Performance in 2018 Overview ● Nine-month net sales for 2018 were $41.5 million as compared to $41.4 million in the 2017 period; Q3 2018 net sales of $11.5 million as compared to $13.2 million in Q3 2017 ● Q3 2018 operating expenses declined by $0.

CTIB / CTI Industries Corp. FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 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 Num

Consent and Amendment No. 2 to Revolving Credit, Term Loan and Security Agreement dated October 18, 2018 (Incorporated by reference to Exhibit 10.1, contained in Registrant’s form 8-K filed on October 18, 2018)

EX-10.1 2 ex125289.htm EXHIBIT 10.1 EXHIBIT 10.1 CONSENT AND AMENDMENT NO. 2 TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This CONSENT AND AMENDMENT NO. 2 TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT ("Amendment") is dated as of October 8, 2018 and is entered into by and among CTI INDUSTRIES CORPORATION, an Illinois corporation ("Borrower"), the other Credit Parties party hereto,

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 8, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commiss

CTI INDUSTRIES INTRODUCES NEW SMALL FORMAT HOME VACUUM SEALING APPLIANCE

EXHIBIT 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE CTI INDUSTRIES INTRODUCES NEW SMALL FORMAT HOME VACUUM SEALING APPLIANCE Lake Barrington, IL – September 26, 2018 – CTI Industries Corporation (NASDAQ: CTIB) (“CTI”), a manufacturer and global marketer of novelty balloons, vacuum and flexible packaging and storage products, printed and laminated films, party goods, Candy Blossoms and home container p

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Comm

CTIB / CTI Industries Corp. FORM S-1

Table of Contents As filed with the Securities and Exchange Commission on September 18, 2018 Registration No.

CTIB / CTI Industries Corp. FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 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 0

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commission

WAIVER AND AMENDMENT NO. 1 TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT

EXHIBIT 99.1 WAIVER AND AMENDMENT NO. 1 TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This WAIVER AND AMENDMENT NO. 1 TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT ("Amendment") is dated as of May 11, 2018 and is entered into by and among CTI INDUSTRIES CORPORATION, an Illinois corporation ("Borrower"), the other Credit Parties party hereto, the Lenders party hereto and PNC BANK, N

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commission

CTIB / CTI Industries Corp. FORM SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois 000-23115 36-2848943 (State or other jurisdiction (Commission (IRS Employer of incorporation or organization) File Number) Identification No.) 22160 N. Pepper Road, Lake Barrington, Illinois 60010 (A

CTIB / CTI Industries Corp. FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 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

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commission

CTI INDUSTRIES ANNOUNCES 2018 FIRST QUARTER FINANCIAL RESULTS Forecasts Improved Operating Performance for 2018

EXHIBIT 99.1 NEWS RELEASE FOR IMMEDIATE RELEASE CTI INDUSTRIES ANNOUNCES 2018 FIRST QUARTER FINANCIAL RESULTS Forecasts Improved Operating Performance for 2018 Barrington, IL – May 14, 2018 – CTI Industries Corporation (NASDAQ: CTIB) (“CTI”), a manufacturer and global marketer of novelty balloons, vacuum and flexible packaging and storage products, printed and laminated films, party goods, Candy B

Yunhong CTI, LTD 2018 Stock Incentive Plan (Incorporated by Reference to Schedule A contained in Registrant’s 14A Definitive Proxy Statement, as filed with the Commission on April 30, 2018)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the 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)) ☒ Defin

CTIB / CTI Industries Corp. FORM 10-K (Annual Report)

Table of Contents FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Audited financial statements of the Company’s subsidiary, Flexo Universal, S. de R.L. de C.V. for the year ended December 31, 2017.

EXHIBIT 99 Vargas Graf y Cía., S.C. C o n t a d o r e s P ú b l i c o s y C o n s u l t o r e s FLEXO UNIVERSAL, S. DE R.L. DE C.V. INDEPENDENT AUDITOR’S REPORT AS OF DECEMBER 31 2017 AND 2016 Santa Rita Nº1110 Col. Chapalita Oriente, Zapopan Jalisco, México C.P. 45040 Teléfonos: +3647-2715, 3647-2732, 36472752 Facsímile: +3647-2728 E-mail [email protected] HLB Vargas Graf y Cía., S.C. is a me

Employment Agreement between Jeffrey S. Hyland and the Company dated December 1, 2017 (Incorporated by reference to Exhibit 10.38 contained in Registrant’s Report on Form 10-K filed on April 2, 2018).

EXHIBIT 10.38 EMPLOYMENT AGREEMENT This Employment Agreement (the "Agreement") is made and entered into as of this 1st day of December, 2017, by and between Jeffrey Hyland (the "Executive") and CTI Industries Corporation, an Illinois corporation (the "Company"). WHEREAS, the Company desires to employ the Executive on the terms and conditions set forth herein; and WHEREAS, the Executive desires to

CTI Industries Corporation Reports Results for Full Year and Fourth Quarter 2017 New Financing - Management Additions – Major 2018 Initiatives

EXHIBIT 99.1 NEWS RELEASE CTI Industries Corporation Reports Results for Full Year and Fourth Quarter 2017 New Financing - Management Additions – Major 2018 Initiatives FOR IMMEDIATE RELEASE March 29, 2018 BARRINGTON, IL, Thursday, March 29, 2018 - CTI Industries Corporation (NASDAQ Capital Market-CTIB), a manufacturer and marketer of novelty balloons, vacuum and flexible packaging and storage pro

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2018 CTI INDUSTRIES CORPORATION (Exact name of registrant as specified in its charter) Illinois (State or other jurisdiction of incorporation) 000-23115 36-2848943 (Commissi