Statera Biopharma, Inc. Underwriting AgreementUnderwriting Agreement • March 25th, 2022 • Statera Biopharma, Inc. • Pharmaceutical preparations • New York
The undersigned, Statera Biopharma, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which EF Hutton, division of Benchmark Investments, LLC (“EF Hutton”) is acting as representative to the several Underwriters (in such capacity, the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein. It is understood that the several Underwriters are to make a public offering of the Public Securities (as defined below) as soon as the Representative deems it advisable to do so. The Public Securities are to be initially offered to the public at
PREFUNDED COMMON STOCK PURCHASE WARRANT STATERA BIOPHARMA, INC.Common Stock Purchase Warrant • March 25th, 2022 • Statera Biopharma, Inc. • Pharmaceutical preparations
This COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, _____________________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after [●], 2022 (the “Initial Exercise Date”) to subscribe for and purchase from Statera Biopharma, Inc., a Delaware corporation (the “Company”), up to [●] shares (subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
COMMON STOCK PURCHASE WARRANT STATERA BIOPHARMA, INC.Common Stock Purchase Warrant • March 25th, 2022 • Statera Biopharma, Inc. • Pharmaceutical preparations
This COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, _____________________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after March [●], 2022 (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on March [●], 2023 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Statera Biopharma, Inc., a Delaware corporation (the “Company”), up to [●] shares (subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
