Cesca Therapeutics Inc. Sample Contracts

SECURITIES PURCHASE AGREEMENT
Securities Purchase Agreement • May 14th, 2018 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2018, between Cesca 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”).

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REGISTRATION RIGHTS AGREEMENT
Registration Rights Agreement • March 21st, 2023 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture

This Registration Rights Agreement (this “Agreement”) is made and entered into as of March 15, 2023, between ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”).

COMMON STOCK PURCHASE WARRANT THERMOGENESIS CORP.
Security Agreement • January 30th, 2014 • Thermogenesis Corp • Laboratory apparatus & furniture

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 Initial Exercise Date (as set forth above) and on or prior to the close of business on the five year anniversary of the Issue Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from ThermoGenesis Corp., 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).

SECURITIES PURCHASE AGREEMENT
Securities Purchase Agreement • January 30th, 2014 • Thermogenesis Corp • Laboratory apparatus & furniture • New York

This Securities Purchase Agreement (this “Agreement”) is dated as of January 27, 2014, between ThermoGenesis Corp., 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”).

EMPLOYMENT AGREEMENT for Matthew T. Plavan
Employment Agreement • May 5th, 2005 • Thermogenesis Corp • Laboratory apparatus & furniture • California
W I T N E S S E T H:
Registration Rights Agreement • January 5th, 2000 • Thermogenesis Corp • Laboratory apparatus & furniture • California
SERIES B COMMON STOCK PURCHASE WARRANT CESCA THERAPEUTICS, INC.
Warrant Agreement • September 1st, 2015 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture

THIS SERIES B 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 earlier of (x) the date Shareholder Approval is received and effective or (y) February 29, 2016 (the “Initial Exercise Date”) and on or prior to the close of business on February 29, 2017 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Cesca Therapeutics, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock; provided, however, as of the First Closing Date, only up to ______ Warrant Shares (as subject to adjustment hereunder) may be issued on exercise(s) of this Warrant, and the exercisability of the ______ additional Warrant Shares (as subject to adjustment hereunder) shall vest ratably from t

SECURITIES PURCHASE AGREEMENT
Securities Purchase Agreement • September 1st, 2015 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This Securities Purchase Agreement (this “Agreement”) is dated as of August 31, 2015, between Cesca 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”).

SECURITIES PURCHASE AGREEMENT
Securities Purchase Agreement • August 29th, 2018 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This SECURITIES PURCHASE AGREEMENT (the “Agreement”) is dated of August 28, 2018 and is by and among Cesca Therapeutics Inc., a Delaware corporation (the “Company”), and the purchaser(s) identified on the signature pages hereto (each a “Buyer” and collectively, the “Buyers”).

LICENSE AGREEMENT
License Agreement • April 14th, 1997 • Thermogenesis Corp • Laboratory apparatus & furniture • New York
EMPLOYMENT AGREEMENT for Philip H. Coelho
Employment Agreement • September 27th, 1999 • Thermogenesis Corp • Laboratory apparatus & furniture • California
SECURITY AGREEMENT
Security Agreement • September 1st, 2015 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This SECURITY AGREEMENT, dated as of August 31, 2015 (this “Agreement”), is among Cesca Therapeutics Inc., a Delaware corporation (the “Company” and, collectively with any Subsidiary of the Company that executes this Agreement including, including, without limitation, by delivery of an Additional Debtor Joinder in substantially the form of Annex A attached hereto, the “Debtors”) and the holders of the Company’s Senior Secured Convertible Debentures due thirty (30) years following their issuance, in the original aggregate principal amount of up to $15,000,000 (collectively, the “Debentures”) signatory hereto, their endorsees, transferees and assigns (collectively, the “Secured Parties”).

AT THE MARKET OFFERING AGREEMENT November 22, 2023
At the Market Offering Agreement • November 22nd, 2023 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture • New York

ThermoGenesis Holdings, Inc., a corporation organized under the laws of the State of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows:

PRE-FUNDED COMMON STOCK PURCHASE WARRANT THERMOGENESIS HOLDINGS, INC.
Security Agreement • March 21st, 2023 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture

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 ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), up to 946,429 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).

SECURITIES PURCHASE AGREEMENT
Securities Purchase Agreement • March 27th, 2020 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture • New York

This Securities Purchase Agreement (this “Agreement”) is dated as of March 25, 2020, between ThermoGenesis Holdings, 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”).

COMMON STOCK PURCHASE WARRANT CESCA THERAPEUTICS INC.
Common Stock Purchase Warrant • May 14th, 2018 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • 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 on or after the date hereof (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on 1 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Cesca 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).

EMPLOYMENT AGREEMENT for Dan Segal
Employment Agreement • September 27th, 2000 • Thermogenesis Corp • Laboratory apparatus & furniture • California
COMMON STOCK PURCHASE WARRANT
Common Stock Purchase Agreement • March 28th, 2018 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture

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 September 28, 2018 (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on September 28, 2023 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Cesca Therapeutics Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s common stock (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).

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STRICTLY CONFIDENTIAL ThermoGenesis Holdings, Inc.
Exclusive Agency Agreement • March 27th, 2020 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture • New York
2,225,000 Units THERMOGENESIS CORP. PLACEMENT AGENT AGREEMENT
Placement Agent Agreement • March 9th, 2011 • Thermogenesis Corp • Laboratory apparatus & furniture • New York
THERMOGENESIS CORP. and SERIES B CONVERTIBLE PREFERRED STOCK and COMMON STOCK PURCHASE WARRANTS
Subscription Agreement • January 5th, 2000 • Thermogenesis Corp • Laboratory apparatus & furniture • California
Common Stock ($0.001 Par Value) EQUITY UNDERWRITING AGREEMENT
Equity Underwriting Agreement • January 31st, 2006 • Thermogenesis Corp • Laboratory apparatus & furniture • New York

ThermoGenesis Corp., a Delaware corporation (the “Company”) proposes to sell to the several underwriters (the “Underwriters”) named in Schedule I hereto for whom you are acting as representatives (the “Representatives”) an aggregate of 8,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value (the “Common Stock”) all of which will be sold by the Company. The respective amounts of the Firm Shares to be so purchased by the several Underwriters are set forth opposite their names in Schedule I hereto. The Company also proposes to sell at the Underwriters’ option an aggregate of up to 800,000 additional shares of the Company’s Common Stock (the “Option Shares”) as set forth below.

COMMON STOCK PURCHASE WARRANT THERMOGENESIS HOLDINGS, INC.
Common Stock Agreement • March 21st, 2023 • ThermoGenesis Holdings, Inc. • Laboratory apparatus & furniture

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 September 20, 2028 (the “Termination Date”) but not thereafter, to subscribe for and purchase from ThermoGenesis Holdings, Inc., a Delaware corporation (the “Company”), up to 1,071,429 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).

RECITALS
International Distribution Agreement • October 18th, 2005 • Thermogenesis Corp • Laboratory apparatus & furniture
PLACEMENT AGENCY AGREEMENT
Placement Agency Agreement • December 1st, 2017 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This letter (this “Agreement”) constitutes the agreement between Cesca Therapeutics Inc., a Delaware corporation (the “Company”), and Dawson James Securities, Inc. (“Dawson” or the “Placement Agent”) pursuant to which Dawson shall serve as the exclusive placement agent (the “Services”) for the Company, on a reasonable “best efforts” basis, in connection with the proposed offer and placement (the “Offering”) by the Company of its Securities (as defined Section 3 of this Agreement). The Company expressly acknowledges and agrees that Dawson’s obligations hereunder are on a reasonable “best efforts” basis only and that the execution of this Agreement does not constitute a commitment by Dawson to purchase the Securities and does not ensure the successful placement of the Securities or any portion thereof or the success of Dawson in placing the Securities.

RECITALS
Oem Supply Agreement • November 10th, 2005 • Thermogenesis Corp • Laboratory apparatus & furniture • California
PRE-FUNDED COMMON STOCK PURCHASE WARRANT CESCA THERAPEUTICS INC.
Warrant Agreement • April 25th, 2019 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, YUAN LAN FANG or her assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Cesca Therapeutics Inc., a Delaware corporation (the “Company”), up to 4,444,444 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).

Robin C. Stracey
Placement Agent Agreement • August 4th, 2016 • Cesca Therapeutics Inc. • Laboratory apparatus & furniture • New York

This letter (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and Cesca Therapeutics Inc., a Delaware corporation (the “Company”), that Maxim shall serve as the placement agent for the Company, on a best efforts basis, in connection with the proposed placement (the “Placement”) of an aggregate of 600,000 shares of (the “Securities”) of the Company’s common stock, par value $0.001 per share (“Common Stock”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Maxim would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement, including but not limited to the Purchase Agreem

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