March 3, 2015 Strictly Private and Confidential Mr. Hojabr Alimi Chief Executive Officer Ruthigen, Inc.Letter Agreement • June 10th, 2015 • Ruthigen, Inc. • Pharmaceutical preparations • Florida
This letter agreement (the “Agreement”) documents an oral understanding discussed by the parties in February, 2015, is binding upon each of the parties and shall include all arrangements and agreements pursuant to which Dawson James Securities, Inc. (“Dawson”) is or has been engaged by Ruthigen, Inc. (together with its subsidiaries and affiliates, the “Company”) on a non-exclusive basis to introduce the Company to potential Transaction Parties (as defined below) in connection with a potential Transaction (as defined below).
May 7, 2015 CONFIDENTIALRuthigen, Inc. • June 10th, 2015 • Pharmaceutical preparations • Florida
The purpose of this engagement letter is to outline our agreement pursuant to which Dawson James Securities, Inc. (“Dawson”) will act as the lead or managing placement agent on a best efforts, agency basis in connection with the proposed PIPE (Private Placement Into Public Equity) offering (the “Offering”) pursuant to Rule 506 of Regulation D primulgated under the Securities Act of 1933 (the “Securities Act”) and limited to “accredited investors” (as that term is defined under Rule 501 of Regulation D by Ruthigen, Inc. (collectively, with its subsidiaries and affiliates, the “Company”) of its equity or equity-linked securities. This engagement letter (this “Agreement”) sets forth certain conditions and assumptions upon which the Offering is premised. However, except as expressly provided herein, this engagement letter is not intended to be a binding legal document, as the agreement between the parties hereto on the matters relating to the Offering will be embodied in the Placement Agen
Consulting AgreementConsulting Agreement • June 10th, 2015 • Ruthigen, Inc. • Pharmaceutical preparations • Delaware
This Consulting Agreement (“Agreement”), effective as of March 10, 2015 (“Effective Date”) is entered into by and between Ruthigen, Inc., a Delaware corporation (herein referred to as the “Company”) and Robert B. Prag (herein referred to as the “Consultant”).
AMENDMENT NO. 1 to SECURITIES PURCHASE Follow-Up AGREEMENTSecurities Purchase Follow-Up Agreement • June 10th, 2015 • Ruthigen, Inc. • Pharmaceutical preparations • California
This AMENDMENT NO. 1, dated as of June __, 2015 (the “Amendment”), to the SECURITIES PURCHASE FOLLOW-UP AGREEMENT (the “Follow-Up Agreement”), dated as of March 12, 2015, by and among Oculus Innovative Sciences, Inc., a Delaware corporation, with its principal place of business at 1129 N. McDowell Blvd., Petaluma, CA 94954 (the “Seller”), Michael Brauser and Barry Honig or their respective assignee(s) (collectively, the “Buyer”), Ruthigen, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (the “Underwriter”).
