COMMON STOCK PURCHASE WARRANT SUMMIT WIRELESS TECHNOLOGIES, INC.Common Stock Purchase Warrant • April 1st, 2020 • Summit Wireless Technologies, Inc. • Semiconductors & related devices • New York
THIS COMMON STOCK PURCHASE WARRANT (this “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 [_____]2 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Summit Wireless Technologies, 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 the
WARRANT AGENT AGREEMENTWarrant Agent Agreement • April 1st, 2020 • Summit Wireless Technologies, Inc. • Semiconductors & related devices • New York
WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of [________], 2020 (the “Issuance Date”) between Summit Wireless Technologies, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), and VStock Transfer, LLC (the “Warrant Agent”).
SHARES OF COMMON STOCK AND _________ WARRANTS (EXERCISABLE FOR _________ SHARES) OF SUMMIT WIRELESS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 1st, 2020 • Summit Wireless Technologies, Inc. • Semiconductors & related devices • New York
The undersigned, SUMMIT WIRELESS TECHNOLOGIES, INC., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of SUMMIT WIRELESS TECHNOLOGIES, 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 MAXIM GROUP LLC is acting as representative to the several Underwriters (in such capacity, 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 Underwriters) on the terms and conditions set forth herein.
EXHIBIT A Form of Underwriter’s Warrant AgreementUnderwriter’s Warrant Agreement • April 1st, 2020 • Summit Wireless Technologies, Inc. • Semiconductors & related devices
THIS WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, _____________ or his, her 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 ________, 2020 [DATE THAT IS 180 DAYS FROM THE EFFECTIVE DATE] (as defined below) (the “Initial Exercise Date”) and, in accordance with FINRA Rule 5110(f)(2)(G)(i), prior to at 5:00 p.m. (New York time) on the date that is five (5) years following the Effective Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from SUMMIT WIRELESS TECHNOLOGIES, INC., a Delaware corporation (the “Company”), up to ______1 shares of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company (the “Warrant Shares”), as subject to adjustment hereunder. 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)
