WARRANT AGREEMENTWarrant Agreement • January 4th, 2012 • Lucid Inc • Surgical & medical instruments & apparatus • New York
This Warrant Agreement made as of December 30, 2011, is between Lucid, Inc., a New York corporation, with offices at 2320 Brighton Henrietta Townline Road, Rochester, New York 14623 (the “Company”), and American Stock Transfer and Trust Company, LLC, with offices at 6201 Fifteenth Avenue, Brooklyn, New York 11219 (the “Warrant Agent”).
UNIT PURCHASE OPTION FOR THE PURCHASE OF 15,268 UNITS OF LUCID, INC.Lucid Inc • January 4th, 2012 • Surgical & medical instruments & apparatus • New York
LUCID, INC. 1,388,000 Units Each Unit Consisting of One Share of Common Stock and One Warrant to Purchase a Share of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 4th, 2012 • Lucid Inc • Surgical & medical instruments & apparatus • California
Lucid, Inc., a New York corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”) for whom Roth Capital Partners, LLC is acting as representative (the “Representative”), an aggregate of 1,388,000 units (the “Underwritten Units”), each Underwritten Unit consisting of (i) one share Common Stock, par value $0.01 per share (the “Common Stock”), of the Company (the “Underwritten Shares”) and (ii) one warrant to purchase one share of Common Stock (the “Underwritten Warrants”). The Underwritten Shares and the Underwritten Warrants included in the Underwritten Units will trade separately on the tenth business day following the earlier to occur of (i) the expiration of the Over-allotment Option (as defined below) or (ii) its exercise in full.
