EXHIBIT 10f REGISTRATION RIGHTS AGREEMENT ----------------------------- This Registration Rights Agreement (this "Agreement") is made and entered into as of July 17, 1997, among PLC Systems Inc., a corporation organized and existing under the laws of...Registration Rights Agreement • August 14th, 1997 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledAugust 14th, 1997 Company Industry Jurisdiction
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • May 15th, 2015 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledMay 15th, 2015 Company Industry JurisdictionThis Securities Purchase Agreement (this “Agreement”) is dated as of May 12, 2015, between Viveve Medical, Inc., a Yukon Territory corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and permitted assigns, a “Purchaser” and collectively, the “Purchasers”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • November 25th, 2015 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus
Contract Type FiledNovember 25th, 2015 Company IndustryThis Registration Rights Agreement (this “Agreement”) is made and entered into as of November 20, 2015, between Viveve Medical, Inc. a Yukon Territory corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”).
ANDShareholders Agreement • May 15th, 2001 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledMay 15th, 2001 Company Industry Jurisdiction
UNDERWRITING AGREEMENT betweenUnderwriting Agreement • January 12th, 2021 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJanuary 12th, 2021 Company Industry JurisdictionAs Representative of the several Underwriters named on Schedule 1 attached hereto 590 Madison Avenue, 28th Floor New York, New York 10022
EXHIBIT 10e NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER...PLC Systems Inc • August 14th, 1997 • Electromedical & electrotherapeutic apparatus • New York
Company FiledAugust 14th, 1997 Industry Jurisdiction
REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this "AGREEMENT") is made and entered into as of April 23, 1998, among PLC Systems Inc., a corporation organized and existing under the laws of British Columbia, Canada (the "COMPANY"),...Registration Rights Agreement • May 15th, 1998 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledMay 15th, 1998 Company Industry Jurisdiction
1 EXHIBIT 10.c NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION...PLC Systems Inc • May 15th, 1998 • Electromedical & electrotherapeutic apparatus • New York
Company FiledMay 15th, 1998 Industry Jurisdiction
SERIES A/B] COMMON STOCK PURCHASE WARRANTViveve Medical, Inc. • November 21st, 2019 • Electromedical & electrotherapeutic apparatus • New York
Company FiledNovember 21st, 2019 Industry JurisdictionTHIS [SERIES A/B] COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. 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 Viveve Medical, 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 being issued pursuant to that certain Underwriting Agreement dated _____________, 2019 between the Company and Ladenburg & Thalmann & Co. Inc. as representative of the underwriters thereunder (the “Underwriting Agreement”) and
COMMON STOCK PURCHASE WARRANT PLC SYstems inc.PLC Systems Inc • May 14th, 2014 • Electromedical & electrotherapeutic apparatus
Company FiledMay 14th, 2014 IndustryTHIS 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 the close of business on the 5 year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from PLC Systems Inc., a Yukon Territory corporation (the “Company”), up to 940,188 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 PLC SYSTEMS INC.Common Stock Purchase Warrant • February 25th, 2013 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus
Contract Type FiledFebruary 25th, 2013 Company IndustryTHIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its registered 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 the close of business on the five year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from PLC Systems Inc., a Yukon Territory 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 PLC SYSTEMS INC.PLC Systems Inc • July 16th, 2014 • Electromedical & electrotherapeutic apparatus
Company FiledJuly 16th, 2014 IndustryTHIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, GCP IV LLC or its registered 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 the close of business on the five year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from PLC Systems Inc., a Yukon Territory corporation (the “Company”), up to 2,083,333 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 • June 10th, 2020 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • Illinois
Contract Type FiledJune 10th, 2020 Company Industry JurisdictionTHIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of June 8, 2020, is entered into by and between VIVEVE MEDICAL, 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 that certain 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”).
Exhibit 10d NEITHER THIS DEBENTURE NOR THE SECURITIES INTO WHICH THIS DEBENTURE IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION...PLC Systems Inc • August 14th, 1997 • Electromedical & electrotherapeutic apparatus
Company FiledAugust 14th, 1997 Industry
5% SENIOR SECURED CONVERTIBLE DEBENTURE DUE JANUARY 16, 2016PLC Systems Inc • August 7th, 2014 • Electromedical & electrotherapeutic apparatus • New York
Company FiledAugust 7th, 2014 Industry JurisdictionTHIS 5% SENIOR SECURED CONVERTIBLE DEBENTURE is one of a series of duly authorized and validly issued 5% Senior Secured Convertible Debentures of PLC Systems Inc., a Yukon Territory corporation (the “Company”), having its principal place of business at 459 Fortune Boulevard, Milford, Massachusetts 01757, designated as its 5% Senior Secured Convertible Debenture due January 16, 2016 (this debenture, this “Debenture” and, collectively with the other debentures of such series, the “Debentures”).
13,333,334 Shares VIVEVE MEDICAL, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 10th, 2018 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledDecember 10th, 2018 Company Industry Jurisdiction
COMMON STOCK PURCHASE WARRANT PLC SYSTEMS INC.PLC Systems Inc • August 7th, 2014 • Electromedical & electrotherapeutic apparatus
Company FiledAugust 7th, 2014 IndustryTHIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, GCP IV LLC or its registered 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 the close of business on the five year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from PLC Systems Inc., a Yukon Territory corporation (the “Company”), up to 2,083,333 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).
1 EXHIBIT 10.b NEITHER THIS DEBENTURE NOR THE SECURITIES INTO WHICH THIS DEBENTURE IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM...PLC Systems Inc • May 15th, 1998 • Electromedical & electrotherapeutic apparatus
Company FiledMay 15th, 1998 Industry
SHARES OF COMMON STOCK VIVEVE MEDICAL, INC. UNDERWRITING AGREEMENT June __, 2016Underwriting Agreement • June 9th, 2016 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJune 9th, 2016 Company Industry JurisdictionLadenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137
BY AND AMONG PLC SYSTEMS INC.,Distribution Agreement • May 15th, 2001 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledMay 15th, 2001 Company Industry Jurisdiction
PURCHASE AGREEMENTPurchase Agreement • June 10th, 2020 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • Illinois
Contract Type FiledJune 10th, 2020 Company Industry JurisdictionTHIS PURCHASE AGREEMENT (the “Agreement”), dated as of June 8, 2020, by and between VIVEVE MEDICAL, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”).
INDEMNIFICATION AGREEMENTIndemnification Agreement • March 16th, 2018 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • Delaware
Contract Type FiledMarch 16th, 2018 Company Industry JurisdictionThis Indemnification Agreement (“Agreement”) is made as of ________________ by and between Viveve Medical Inc., a Delaware corporation (the “Company”), and ____________ (“Indemnitee”).
Exhibit 10.a CONVERTIBLE DEBENTURE PURCHASE AGREEMENT PLC SYSTEMS INC. April 23, 1998 CONVERTIBLE DEBENTURE PURCHASE AGREEMENT, dated as of April 23, 1998 (this "AGREEMENT"), among PLC Systems Inc., a corporation organized and existing under the laws...Convertible Debenture Purchase Agreement • May 15th, 1998 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus
Contract Type FiledMay 15th, 1998 Company Industry
VIVEVE MEDICAL, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 21st, 2019 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledNovember 21st, 2019 Company Industry JurisdictionThe undersigned, Viveve Medical, Inc., a Delaware corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Viveve Medical, Inc., 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 Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (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.
2 3 3. Compensation. You shall receive the compensation and benefits set forth on Exhibit A hereto ("Compensation") for all services to be rendered by you hereunder and for your transfer of property rights pursuant to an agreement relating to...Key Employee Agreement • August 14th, 1998 • PLC Systems Inc • Electromedical & electrotherapeutic apparatus • Massachusetts
Contract Type FiledAugust 14th, 1998 Company Industry Jurisdiction
VIVEVE MEDICAL, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 13th, 2019 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledNovember 13th, 2019 Company Industry JurisdictionThe undersigned, Viveve Medical, Inc., a Delaware corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Viveve Medical, Inc., 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 Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (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.
SERIES A-2/B-2] COMMON STOCK PURCHASE WARRANTViveve Medical, Inc. • April 17th, 2020 • Electromedical & electrotherapeutic apparatus • New York
Company FiledApril 17th, 2020 Industry JurisdictionTHIS [SERIES A-2/B-2] 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 Viveve Medical, 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).
2,700,000 SHARES OF COMMON STOCK VIVEVE MEDICAL, INC. UNDERWRITING AGREEMENT June 14, 2016Viveve Medical, Inc. • June 14th, 2016 • Electromedical & electrotherapeutic apparatus • New York
Company FiledJune 14th, 2016 Industry JurisdictionThe undersigned, VIVEVE MEDICAL, INC. (the “Company”), a company incorporated under the laws of Delaware (collectively with its Subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being Subsidiaries of 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 LADENBURG THALMANN & CO. INC. is acting as representative to the several Underwriters (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.
COMMON STOCK PURCHASE WARRANTViveve Medical, Inc. • November 13th, 2019 • Electromedical & electrotherapeutic apparatus • New York
Company FiledNovember 13th, 2019 Industry JurisdictionTHIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. 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 Viveve Medical, 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 shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole registered holder of this Warrant, subject to a Holder’s right to el
SERIES A/B] COMMON STOCK PURCHASE WARRANTViveve Medical, Inc. • November 21st, 2019 • Electromedical & electrotherapeutic apparatus • New York
Company FiledNovember 21st, 2019 Industry JurisdictionTHIS [SERIES A/B] COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. 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 Viveve Medical, 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 being issued pursuant to that certain Underwriting Agreement dated _____________, 2019 between the Company and Ladenburg & Thalmann & Co. Inc. as representative of the underwriters thereunder (the “Underwriting Agreement”) and
VIVEVE MEDICAL, INC. $25,000,000 COMMON STOCK SALES AGREEMENTViveve Medical, Inc. • November 8th, 2017 • Electromedical & electrotherapeutic apparatus • New York
Company FiledNovember 8th, 2017 Industry Jurisdiction
WARRANT AGREEMENTWarrant Agreement • November 21st, 2019 • Viveve Medical, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledNovember 21st, 2019 Company Industry JurisdictionThis Warrant Agreement made as of [___________], 2019, is between Viveve Medical, Inc., a Delaware corporation, with offices at 345 Inverness Drive South, Building B, Suite 250, Englewood, CO 80112 (the “Company”), and VStock Transfer, LLC, with offices at 18 Lafayette Place, Woodmere, New York (the “Warrant Agent”).
COMMON STOCK PURCHASE WARRANT Issue Date: May 25, 2017 To Purchase 148,617 Shares of Common Stock of VIVEVE MEDICAL, INC.Viveve Medical, Inc. • June 1st, 2017 • Electromedical & electrotherapeutic apparatus
Company FiledJune 1st, 2017 IndustryTHIS COMMON STOCK PURCHASE WARRANT CERTIFIES that, for value received, CRG Partners III L.P. (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 Issue Date (the “Initial Exercise Date”) and on or prior to the close of business on the earlier of the tenth anniversary of the Issue Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Viveve Medical, Inc., a Delaware corporation (the “Company”), up to an aggregate of 148,617 shares (the “Warrant Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) in accordance with Section 2 or Section 3 herein. The purchase price of one share of Common Stock (the “Exercise Price”) under this Warrant shall be $9.50, subject to adjustment hereunder. The Exercise Price and the number of Warrant Shares for which the Warrant is exercisable shall be subject to adjustment as provided herein.
FORM OF NONQUALIFIED STOCK OPTION AGREEMENT GRANTED UNDER 2000 NON-QUALIFIED PERFORMANCE AND RETENTION EQUITY PLANPLC Systems Inc • August 26th, 2002 • Electromedical & electrotherapeutic apparatus
Company FiledAugust 26th, 2002 Industry
LETTERHEAD OF PLC SYSTEMS, INC.] ___________, 1999PLC Systems Inc • March 12th, 1999 • Electromedical & electrotherapeutic apparatus
Company FiledMarch 12th, 1999 Industry