ARTICLE IRegistration Rights Agreement • June 8th, 2006 • Phase Iii Medical Inc/De • Services-misc health & allied services, nec
WARRANT TO PURCHASE _______ SHARES (SUBJECT TO ADJUSTMENT) OF COMMON STOCK, PAR VALUE $0.001 PER SHAREWarrant Agreement • June 8th, 2006 • Phase Iii Medical Inc/De • Services-misc health & allied services, nec • New York
FORM OF COMMON STOCK PURCHASE WARRANT Caladrius Biosciences, Inc.Common Stock Purchase Warrant • July 10th, 2020 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec
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 on or prior to 5:00 p.m. (New York City time) on January 10, 2026 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Caladrius Biosciences, Inc., a Delaware corporation (the “Company”), up to [ ] shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s common stock, par value $0.001 per share (the “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).
EXHIBIT 10 ( m ) STOCK PURCHASE AGREEMENT THIS AGREEMENT, entered into as of January 30, 1997, by and among:Stock Purchase Agreement • April 29th, 1997 • Corniche Group Inc /De • Wholesale-paper & paper products
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 16th, 2021 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of February 12, 2021, between Caladrius Biosciences, 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”).
1 EXHIBIT 10(c) EMPLOYMENT AGREEMENT AGREEMENT made as of the 26th day of June, 2000 by and between Corniche Group Incorporated, a Delaware corporation having offices at 610 S. Industrial Blvd, Suite 220, Euless, Texas 76040 (the "Company"), and David...Employment Agreement • October 16th, 2000 • Corniche Group Inc /De • Blank checks • Texas
STOCK OPTION AGREEMENT, made as of the 6th day of February, 2003 (the "Agreement"), between CORNICHE GROUP INCORPORATED, a Delaware corporation (the "Company"), and MARK WEINREB (the "Optionee"). WHEREAS, concurrently herewith, the Company has adopted...Stock Option Agreement • February 13th, 2003 • Corniche Group Inc /De • Insurance carriers, nec
WITNESSETH:Non-Qualified Stock Option Agreement • October 16th, 2000 • Corniche Group Inc /De • Blank checks • Delaware
BY AND AMONG PHASE III MEDICAL, INC., PHASE III MEDICAL HOLDING COMPANY AND NEOSTEM, INC.Asset Purchase Agreement • December 12th, 2005 • Phase Iii Medical Inc/De • Insurance carriers, nec • New York
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • January 25th, 2021 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec
This Registration Rights Agreement (this “Agreement”) is made and entered into as of January 21, 2021, by and between Caladrius Biosciences, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”).
1 EXHIBIT 4(b) INCENTIVE STOCK OPTION AGREEMENT CORNICHE GROUP INCORPORATED 1992 STOCK OPTION PLAN FOR DIRECTORS 1. Grant of Option. Pursuant to the Corniche Group Incorporated 1992 Stock Option Plan for Directors (the "Plan") of Corniche Group...Incentive Stock Option Agreement • October 16th, 2000 • Corniche Group Inc /De • Blank checks
UNDERWRITING AGREEMENT between NEOSTEM, INC. and AEGIS CAPITAL CORP., as Representative of the Several UnderwritersUnderwriting Agreement • October 4th, 2013 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
The undersigned, NeoStem, Inc., a corporation formed under the laws of the State of Delaware (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 NeoStem, 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 10.1 SUBSCRIPTION AGREEMENT NeoStem, Inc. 420 Lexington Avenue Suite 450 New York, New York 10170 Attention: Chief Executive Officer Ladies and Gentlemen: The undersigned investor (the "Investor") under the following terms and conditions,...Subscription Agreement • February 1st, 2007 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
1 EXHIBIT 4(c) NONQUALIFIED STOCK OPTION AGREEMENT CORNICHE GROUP INCORPORATED 1992 STOCK OPTION PLAN FOR DIRECTORS 1. Grant of Option. Pursuant to the Corniche Group Incorporated 1992 Stock Option Plan for Directors (the "Plan") of Corniche Group...Nonqualified Stock Option Agreement • October 16th, 2000 • Corniche Group Inc /De • Blank checks
ARTICLE 2 REPRESENTATIONS AND WARRANTIESAcquisition Agreement • November 19th, 2007 • NeoStem, Inc. • Services-misc health & allied services, nec • Delaware
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • January 25th, 2021 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of January 21, 2021, between Caladrius Biosciences, 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”).
EXHIBIT 10.1 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT, dated as of January 19, 2006 by and between Phase III Medical, Inc. (the "Company") and Larry May (the "Executive"). W I T N E S S E T H: WHEREAS, simultaneously with execution of this Agreement,...Employment Agreement • January 26th, 2006 • Phase Iii Medical Inc/De • Insurance carriers, nec • New York
PHASE III MEDICAL, INC. 330 South Service Road Suite 120 Melville, New York 11747 631.574.4955Letter Agreement • August 15th, 2005 • Phase Iii Medical Inc/De • Insurance carriers, nec
1 EXHIBIT 10(a) EMPLOYMENT AGREEMENT AGREEMENT made as of the 15th day of February, 2000 by and between Corniche Group Incorporated, a Delaware corporation having offices at 610 S. Industrial Blvd., Suite 220, Euless, Texas 76040 (the "Company"), and...Employment Agreement • October 16th, 2000 • Corniche Group Inc /De • Blank checks • Texas
PHASE III MEDICAL, INC. 330 South Service Road Suite 120 Melville, New York 11747 631. 574.4955 January 30, 2006 Ms. Catherine M. Vaczy 140 East 28th Street Apartment #11C New York, New York 10016 Dear Catherine: Reference is made to that certain...Executive Employment Agreement • April 3rd, 2006 • Phase Iii Medical Inc/De • Insurance carriers, nec
Reference is made to that certain letter agreement (the "Agreement") dated as of April 20, 2005 and entered into between you and Phase III Medical, Inc. (the "Company") pursuant to which you agreed to serve as the Executive Vice President and General Counsel of the Company.
SERIES A COMMON STOCK PURCHASE WARRANT CALADRIUS BIOCIENCES, INC.Warrant Agreement • February 16th, 2021 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec
THIS SERIES A 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 on or prior to 5:00 p.m. (New York City time) on February 17, 2026 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Caladrius Biosciences, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s common stock, par value $0.001 per share (the “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).
Exhibit 10.4 COMPANY LETTERHEAD May 26, 2006 Dr. Robin L. Smith 930 Fifth Avenue Suite 8H New York, New York 10021 Dear Robin: We are delighted to present this letter agreement (the "Agreement"), setting out the terms of your employment with Phase III...Employment Agreement • June 8th, 2006 • Phase Iii Medical Inc/De • Services-misc health & allied services, nec • New York
Exhibit 10.1 ------------ Phase III Medical, Inc. ----------------------- SUBSCRIPTION AGREEMENT ---------------------- This SUBSCRIPTION AGREEMENT (this "Agreement"), dated as of September 13, 2004, is by and between Phase III Medical, Inc., a...Subscription Agreement • September 16th, 2004 • Phase Iii Medical Inc/De • Insurance carriers, nec • New York
UNDERWRITING AGREEMENT between NEOSTEM, INC. and AEGIS CAPITAL CORP., as Representative of the Several UnderwritersUnderwriting Agreement • May 29th, 2015 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
The undersigned, NeoStem, Inc., a corporation formed under the laws of the State of Delaware (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement (as hereinafter defined) as being subsidiaries of NeoStem, 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:
15,000,000 Shares Warrants to Purchase 15,000,000 Shares NEOSTEM, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • March 29th, 2012 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
ContractAt the Market Offering Agreement • June 4th, 2021 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec • New York
BETWEENExclusive License Agreement • November 19th, 2007 • NeoStem, Inc. • Services-misc health & allied services, nec
PURCHASE AGREEMENTPurchase Agreement • March 14th, 2019 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec • Illinois
THIS PURCHASE AGREEMENT (the “Agreement”), dated as of March 13, 2019 (the “Execution Date”), is entered into by and between CALADRIUS BIOSCIENCES, 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 are defined in Section 1 hereof.
BETWEENLease Agreement • December 12th, 2000 • Corniche Group Inc /De • Insurance carriers, nec
RECITALS --------Employment Agreement • February 12th, 2003 • Corniche Group Inc /De • Insurance carriers, nec • New York
PHASE III MEDICAL, INC. 330 South Service Road Suite 120 Melville, New York 11747 631.574.4955 August 12, 2005Employment Agreement • August 15th, 2005 • Phase Iii Medical Inc/De • Insurance carriers, nec
COMMON STOCK PURCHASE WARRANT NEOSTEM, INC.Common Stock Purchase Warrant • March 29th, 2012 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
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 after October ___, 2012 (the “Initial Exercise Date”) (or such earlier date hereafter designated by the Company) and on or prior to the close of business on April __, 2017 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Neostem, 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). This Warrant is the Warrant to purchase Common Stock issued pursuant to the prospectus supplement dated March ___, 2012 and accompanying prospectus (collectively, the “Prospec
LOAN AND SECURITY AGREEMENTLoan and Security Agreement • September 29th, 2014 • NeoStem, Inc. • Services-misc health & allied services, nec
THIS LOAN AND SECURITY AGREEMENT (as the same may from time to time be amended, modified, supplemented or restated, this “Agreement”) dated as of September 19, 2014 (the “Effective Date”) among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 133 North Fairfax Street, Alexandria, Virginia 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders listed on Schedule 1.1 hereof or otherwise a party hereto from time to time including Oxford in its capacity as a Lender (each a “Lender” and collectively, the “Lenders”), NEOSTEM, INC., a Delaware corporation with offices located at 420 Lexington Avenue, Suite 350, New York, NY 10170 (“Parent”), the other borrowers listed on the signature page hereto (individually and collectively, jointly and severally, “Borrower”), provides the terms on which the Lenders shall lend to Borrower and Borrower shall repay the Lenders. The parties agree as follows:
COMMON STOCK PURCHASE AGREEMENTCommon Stock Purchase Agreement • November 5th, 2015 • Caladrius Biosciences, Inc. • Services-misc health & allied services, nec • Illinois
COMMON STOCK PURCHASE AGREEMENT (the “Agreement”), dated as of November 4, 2015, by and between CALADRIUS BIOSCIENCES, INC., a Delaware corporation (the “Company”), and ASPIRE CAPITAL FUND, LLC, an Illinois limited liability company (the “Buyer”). Capitalized terms used herein and not otherwise defined herein are defined in Section 10 hereof.
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • May 6th, 2015 • NeoStem, Inc. • Services-misc health & allied services, nec • Illinois
REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of May 4, 2015, by and between NEOSTEM, INC., a Delaware corporation (the “Company”), and ASPIRE CAPITAL FUND, LLC, an Illinois limited liability company (together with it permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shall have the respective meanings set forth in the Common Stock 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”).
