CHF Solutions, Inc. and American Stock Transfer & Trust Company, LLC, as Warrant AgentWarrant Agency Agreement • January 29th, 2020 • CHF Solutions, Inc. • Electromedical & electrotherapeutic apparatus • New York
WARRANT AGENCY AGREEMENT, dated as of January 28, 2020 (“Agreement”), between CHF Solutions, Inc., a Delaware corporation (the “Company”), and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (the “Warrant Agent”).
3,755,458 SHARES OF COMMON STOCK, 11,517,269 SHARES OF SERIES H CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO 11,517,269 SHARES OF COMMON STOCK) AND WARRANTS EXERCISABLE INTO 15,272,727 SHARES OF COMMON STOCK OF CHF SOLUTIONS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 29th, 2020 • CHF Solutions, Inc. • Electromedical & electrotherapeutic apparatus • New York
The undersigned, CHF Solutions, Inc., a Delaware corporation (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of CHF Solutions, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters, if any (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.
