CAPSTONE TURBINE CORPORATION 2,700,000 Shares of Common Stock Series A Warrants to Purchase 4,107,500 Shares of Common Stock Pre-Funded Series B Warrants to Purchase 5,515,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 21st, 2016 • CAPSTONE TURBINE Corp • Engines & turbines • New York
CAPSTONE TURBINE CORPORATION SERIES A WARRANT TO PURCHASE COMMON STOCKCAPSTONE TURBINE Corp • April 21st, 2016 • Engines & turbines • New York
Capstone Turbine Corporation, a company organized under the laws of Delaware (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [HOLDER], the registered holder hereof or its permitted assigns (the “Holder”), is entitled, subject to the terms set forth below, to purchase from the Company, at the Exercise Price (as defined below) then in effect, at any time or times on or after October 23, 2016 (the “Initial Exercisability Date”), but not after 11:59 p.m., New York time, on the Expiration Date, (as defined below), ______________ (_____________)1 fully paid nonassessable shares of Common Stock (as defined below), subject to adjustment as provided herein (the “Warrant Shares”). Except as otherwise defined herein, capitalized terms in this Series A Warrant to Purchase Common Stock (including any Warrants to Purchase Common Stock issued in exchange, transfer or replacement hereof, this “Warrant”), shall h
CAPSTONE TURBINE CORPORATION PRE-FUNDED SERIES B WARRANT TO PURCHASE COMMON STOCKCAPSTONE TURBINE Corp • April 21st, 2016 • Engines & turbines • New York
Capstone Turbine Corporation, a company organized under the laws of Delaware (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [HOLDER], the registered holder hereof or its permitted assigns (the “Holder”), is entitled, subject to the terms set forth below, to purchase from the Company, at the Exercise Price (as defined below) then in effect, at any time or times on or after the date hereof (the “Initial Exercisability Date”), but not after 11:59 p.m., New York time, on the Expiration Date, (as defined below), ______________ (_____________)1 fully paid nonassessable shares of Common Stock (as defined below), subject to adjustment as provided herein (the “Warrant Shares”); provided, however, in the event that on the Expiration Date the Holder beneficially owns the Maximum Percentage (as defined below) then the Expiration Date shall be tolled and extended until such time that the Holder beneficially
