FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • November 3rd, 2020 • Applied UV, Inc. • Electric lighting & wiring equipment • New York
The undersigned, Applied UV, 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 Applied UV, 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.
FORM OF UNDERWRITER COMMON STOCK PURCHASE WARRANT] UNDERWRITER COMMON STOCK PURCHASE WARRANT applied uv, inc.Underwriter Common Stock Purchase Warrant • November 3rd, 2020 • Applied UV, Inc. • Electric lighting & wiring equipment • New York
THIS UNDERWRITER 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 ___________20201 (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York time) on ________ (the “Termination Date”) but not thereafter, to subscribe for and purchase from Applied UV, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s common stock (“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 the Underwriting Agreement dated as of ______, by and between the Company and Ladenburg Thalmann & Co. Inc. (“Ladenburg”).
