SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 7th, 2013 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of February 7, 2013, between Opexa Therapeutics, Inc., a Texas corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
EXHIBIT 10.1 SECOND AMENDED AND RESTATED LICENSE AGREEMENT This Second Amended and Restated License Agreement ("Agreement"), effective this 31st day of July, 2007 is between the University of Chicago, an Illinois not-for-profit corporation...License Agreement • August 3rd, 2007 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • Illinois
UNDERWRITING AGREEMENT between OPEXA THERAPEUTICS, INC. and AEGIS CAPITAL CORP., as Representative of the Several UnderwritersUnderwriting Agreement • July 22nd, 2013 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
The undersigned, Opexa Therapeutics, Inc., a corporation formed under the laws of the State of Texas (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement (as hereinafter defined) as being subsidiaries or affiliates of Opexa Therapeutics, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Representative”) and with the other underwriters named on Schedule 1 hereto for which the Representative is acting as representative (the Representative and such other underwriters being collectively called the “Underwriters” or, individually, an “Underwriter”) as follows:
TERMS -----Warrant Agreement • April 15th, 2005 • Pharmafrontiers Corp • Pharmaceutical preparations
BY AND AMONGStock Purchase Agreement • June 4th, 2004 • Sportan United Industries Inc • Sporting & athletic goods, nec • Texas
RECITALSPurchase Agreement • April 18th, 2006 • PharmaFrontiers Corp. • Pharmaceutical preparations • New York
RECITALS:Registration Rights Agreement • July 19th, 2005 • Pharmafrontiers Corp • Pharmaceutical preparations
RECITALS:Registration Rights Agreement • July 19th, 2005 • Pharmafrontiers Corp • Pharmaceutical preparations
WHEREAS, the Company desires to employ the Executive to have the benefits of (his/his/her) expertise and knowledge. The Executive, in turn, desires employment with the Company. The parties, therefore, enter into this Agreement to establish the terms...Employment Agreement • June 4th, 2004 • Sportan United Industries Inc • Sporting & athletic goods, nec • Texas
EXHIBIT 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the "Agreement") is made and entered into as of this 11th day of April, 2006 by and among PharmaFrontiers Corp., a Texas corporation (the "Company"), and the "Investors"...Registration Rights Agreement • April 18th, 2006 • PharmaFrontiers Corp. • Pharmaceutical preparations • New York
INDEMNIFICATION AGREEMENTIndemnification Agreement • July 19th, 2017 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • Delaware
THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of April 21, 2016 between Acer Therapeutics Inc., a Delaware corporation (the “Company”), and Luc Marengere (“Indemnitee”).
RECITALS:Securities Purchase Agreement • July 19th, 2005 • Pharmafrontiers Corp • Pharmaceutical preparations • New York
Exhibit 10.1 CONSULTING AGREEMENT This Consulting Agreement entered into September 30, 2000 ("Agreement") is by and between, SPORTAN UNITED INDUSTRIES, INC., a Texas corporation ("Company") and THOMAS C. PRITCHARD, an individual ("Consultant"). W I T...Consulting Agreement • October 20th, 2000 • Sportan United Industries Inc • Sporting & athletic goods, nec • Texas
LICENSE AGREEMENT BY AND BETWEEN PHARMAFRONTIERS CORP.License Agreement • February 9th, 2006 • PharmaFrontiers Corp. • Pharmaceutical preparations • Texas
Amended and Restated Sales AgreementSales Agreement • March 18th, 2020 • Acer Therapeutics Inc. • Pharmaceutical preparations • New York
Acer Therapeutics Inc., a Delaware corporation (the “Company”) and Roth Capital Partners, LLC (“Roth”) are parties to that certain Sales Agreement dated November 9, 2018 (the “Original Sales Agreement”). The Company and Roth, together with JonesTrading Institutional Services LLC (“JonesTrading” and together with Roth, the “Agents”) desire to amend and restate the Original Sales Agreement with this agreement (the “Agreement”), and hereby agree as follows:
PRE-FUNDED COMMON STOCK PURCHASE WARRANT ACER THERAPEUTICS INC.Pre-Funded Common Stock Purchase Warrant • March 22nd, 2023 • Acer Therapeutics Inc. • Pharmaceutical preparations
THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date set forth above (the “Initial Exercise Date”) and until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Acer Therapeutics Inc., a Delaware corporation (the “Company”), up to ______ shares (as 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).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • April 30th, 2020 • Acer Therapeutics Inc. • Pharmaceutical preparations • New York
THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of April 30, 2020, by and between ACER THERAPEUTICS INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with its permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shall have the respective meanings set forth in the Purchase Agreement by and between the parties hereto, dated as of the date hereof (as amended, restated, supplemented or otherwise modified from time to time, the “Purchase Agreement”).
WARRANTWarrant Agreement • April 18th, 2006 • PharmaFrontiers Corp. • Pharmaceutical preparations • California
COMMON STOCK PURCHASE WARRANT OPEXA THERAPEUTICS, INC.Common Stock Purchase Warrant • February 7th, 2013 • Opexa Therapeutics, Inc. • Pharmaceutical preparations
THISCOMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after February __, 2013(the “Initial Exercise Date”) and on or prior to the close of business on the four (4)year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Opexa Therapeutics, Inc., a Texas corporation (the “Company”), up to ______ shares (as 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 ACER THERAPEUTICS INC.Securities Agreement • March 22nd, 2023 • Acer Therapeutics Inc. • Pharmaceutical preparations
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date set forth above (the “Initial Exercise Date”) and until [_______________]1 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Acer Therapeutics Inc., a Delaware corporation (the “Company”), up to ______ shares (as 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).
UNDERWRITING AGREEMENT between OPEXA THERAPEUTICS, INC. and AEGIS CAPITAL CORP., as Representative of the Several UnderwritersUnderwriting Agreement • December 18th, 2013 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
The undersigned, Opexa Therapeutics, Inc., a corporation formed under the laws of the State of Texas (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement, the Pricing Disclosure Package and the Prospectus (as hereinafter defined) as being subsidiaries or affiliates of Opexa Therapeutics, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Representative”) and with the other underwriters named on Schedule 1 hereto for which the Representative is acting as representative (the Representative and such other underwriters being collectively called the “Underwriters” or, individually, an “Underwriter”) as follows:
EXHIBIT 10.4 SECOND AMENDMENT TO AMENDED AND RESTATED LICENSE AGREEMENT This Second Amendment to Amended and Restated License Agreement ("Second Amendment") effective this _______ day of April, 2006 is between the University of Chicago, an Illinois...License Agreement • April 18th, 2006 • PharmaFrontiers Corp. • Pharmaceutical preparations
PURCHASE AGREEMENTPurchase Agreement • April 30th, 2020 • Acer Therapeutics Inc. • Pharmaceutical preparations • Delaware
THIS PURCHASE AGREEMENT (the “Agreement”), dated as of April 30, 2020, by and between ACER THERAPEUTICS INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). Capitalized terms used herein and not otherwise defined herein are defined in Section 1 hereof.
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • March 22nd, 2023 • Acer Therapeutics Inc. • Pharmaceutical preparations • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of March 21, 2023, between Acer Therapeutics Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
CONFIDENTIAL Neil K. Warma President & CEO Opexa Therapeutics, Inc.Placement Agent Agreement • December 10th, 2009 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
ANDAgreement and Plan of Reorganization • October 8th, 2004 • Pharmafrontiers Corp • Pharmaceutical preparations • Texas
[STATE SEAL APPEARS HERE] ----------- NUMBER SHARES ----------- INCORPORATED UNDER THE LAWS OF THE STATE OF ----------- 20 TEXAS ----------- ----------- ----------- -----------Shareholder Agreements • March 8th, 1999 • Sportan United Industries Inc
This Certificate that ______________________________ is the owner of ___________________________________________________ fully paid and non-assessable Shares of the above Corporation transferable only on the books of the Corporation by the holder hereof in person or by duly authorized Attorney upon surrender of this Certificate properly endorsed.
PLACEMENT AGENCY AGREEMENT February 7, 2013Placement Agency Agreement • February 7th, 2013 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
Exhibit 99.4 LEASE TERMINATION AGREEMENT This Lease Termination Agreement ("Agreement") is made and entered into effective as of the 13th day of January, 2005 by and between PHARMAFRONTIERS CORP., Assignee of OPEXA PHARMACEUTICALS, INC., ("Tenant")...Lease Termination Agreement • February 4th, 2005 • Pharmafrontiers Corp • Pharmaceutical preparations • Texas
FORM OF OPEXA THERAPEUTICS, INC. DEALER-MANAGER AGREEMENTDealer-Manager Agreement • February 24th, 2015 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
ARTICLE 1 TERMS OF EMPLOYMENTEmployment Agreement • February 7th, 2001 • Sportan United Industries Inc • Sporting & athletic goods, nec
RECITALSLicense Agreement • November 1st, 2006 • Opexa Therapeutics, Inc. • Pharmaceutical preparations
4,146,500 Units par value $0.01 OPEXA THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 8th, 2011 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
OPEXA THERAPEUTICS, INC. DOCS® ATM financing facility Shares of Common Stock, $0.01 par value SALES AGREEMENT September 6, 2012Sales Agreement • September 7th, 2012 • Opexa Therapeutics, Inc. • Pharmaceutical preparations • New York
THIS SALES AGREEMENT (the “Agreement”) dated as of September 6, 2012 between Brinson Patrick Securities Corporation, having its principal office at 1515 Broadway, 11th Floor, New York, New York 10036 (the “Sales Manager”) and Opexa Therapeutics, Inc., a corporation organized and existing under the laws of the State of Texas (the “Company”).
THIRD AMENDMENT TO CREDIT AGREEMENTCredit Agreement • May 15th, 2023 • Acer Therapeutics Inc. • Pharmaceutical preparations
THIS THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of May 12, 2023, is entered into by and among ACER THERAPEUTICS INC., a Delaware corporation (“Borrower”), each of the undersigned financial institutions (individually each a “Lender” and collectively “Lenders”) and SWK FUNDING LLC, a Delaware limited liability company, in its capacity as administrative agent for the other Lenders (in such capacity, “Agent”).
