COMMON STOCK PURCHASE WARRANT northwest biotherapeutics, inc.Common Stock Purchase Warrant • November 20th, 2013 • Northwest Biotherapeutics Inc • Pharmaceutical preparations • New York
THIS 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 November 25, 2013 (the “Initial Exercise Date”) and on or prior to the close of business on November 25, 2018 (the “Termination Date”) but not thereafter, to subscribe for and purchase from NORTHWEST BIOTHERAPEUTICS, 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).
4,895,834 Shares NORTHWEST BIOTHERAPEUTICS, INC. Common Stock and Warrants to Purchase up to 2,447,917 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 20th, 2013 • Northwest Biotherapeutics Inc • Pharmaceutical preparations • New York
Northwest Biotherapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 4,895,834 shares (the “Firm Shares”) of the Company's common stock, $0.001 par value per share (the “Common Stock”) and (ii) warrants to purchase 2,447,917 shares of Common Stock (the “Firm Warrants”, and together with the Firm Shares, the “Firm Securities”). All of the Firm Securities are to be issued and sold by the Company. The respective amounts of the Firm Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional (i) 734,374 shares of Common Stock (the “Option Shares”, and together with the Firm Shares
