THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO...Northwest Biotherapeutics Inc • September 6th, 2016 • Pharmaceutical preparations • Delaware
THIS CERTIFIES THAT, for value received, Cognate BioServices Inc., and/or its assigns (the “Holder”), is entitled to subscribe for and purchase from NORTHWEST BIOTHERAPEUTICS, INC., a Delaware corporation, with its principal office in Bethesda, Maryland (the “Company”), such number of Exercise Shares as provided herein at the Exercise Price as provided herein. This Warrant is being issued pursuant to the terms of that certain Stock Conversion Agreement, of even date herewith, by and among the Company and Holder (the “Agreement”).
EXCHANGE AGREEMENTExchange Agreement • September 6th, 2016 • Northwest Biotherapeutics Inc • Pharmaceutical preparations • Delaware
This EXCHANGE AGREEMENT, dated as of August 29, 2016 (this “Agreement”), is made between Cognate Bioservices, Inc., a Delaware corporation (“Cognate”) and Northwest Biotherapeutics, Inc., a Delaware corporation (the "Company").
