OCULUS INNOVATIVE SCIENCES, INC. UNDERWRITING AGREEMENT January 20, 2015Underwriting Agreement • January 26th, 2015 • Oculus Innovative Sciences, Inc. • Surgical & medical instruments & apparatus • New York
Oculus Innovative Sciences, Inc., a Delaware corporation (the “Company”), agrees, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of 6,250,000 shares (the “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), together with 4,687,500 warrants to purchase an aggregate of 4,687,500 shares of Common Stock at an exercise price equal to $1.30 per share (each a “Warrant” and collectively, the “Warrants”). Each Share shall be sold together with 0.75 of a Warrant to purchase one additional share of Common Stock and the Shares and Warrants shall be separately transferable immediately upon issuance. The offering and sale of Shares and Warrants contemplated by this underwriting agreement (this “Agreement”) is referred
COMMON STOCK PURCHASE WARRANT OCULUS INNOVATIVE SCIENCES, INC.Warrant Agreement • January 26th, 2015 • Oculus Innovative Sciences, Inc. • Surgical & medical instruments & apparatus • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Dawson James Securities, Inc. 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 that is 180 days from the effective date of the Registration Statement (the “Initial Exercise Date”) and on or prior to the close of business on the five (5) year anniversary of the effective date of the Registration Statement No. 333-200461 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Oculus Innovative Sciences, Inc., a Delaware corporation (the “Company”), up to 78,125 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).
OCULUS INNOVATIVE SCIENCES, INC. and COMPUTERSHARE INC. and Computershare TRUST COMPANY, N.A. WARRANT AGREEMENT Dated as of January 20, 2015Warrant Agreement • January 26th, 2015 • Oculus Innovative Sciences, Inc. • Surgical & medical instruments & apparatus • Delaware
THIS WARRANT AGREEMENT (this “Agreement”), dated as of January 20, 2015 is by and between Oculus Innovative Sciences, Inc., a Delaware corporation (the “Company”), and Computershare Inc., a Delaware corporation, and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company, collectively as warrant agent (the “Warrant Agent”, also collectively referred to herein as the “Transfer Agent,” and subject to the appointment of a successor Warrant Agent pursuant to Section 7.3.).
