ContractWarrant Agreement • September 30th, 2014 • Argos Therapeutics Inc • Pharmaceutical preparations • New York
THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, OR (iii) RECEIPT OF NO ACTION LETTERS FROM THE APPROPRIATE GOVERNMENTAL AUTHORITIES REASONABLY SATISFACTORY TO THE COMPANY, AND WITHOUT OTHERWISE COMPLYING WITH THE PROVISIONS OF SECTION 7 OF THIS WARRANT.
ContractVenture Loan and Security Agreement • September 30th, 2014 • Argos Therapeutics Inc • Pharmaceutical preparations • New York
VENTURE LOAN AND SECURITY AGREEMENT Dated as of September 30, 2014 by and among HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation 312 Farmington Avenue Farmington, CT 06032 as a Lender and Collateral Agent FORTRESS CREDIT CO LLC, a Delaware limited liability company 1345 Avenue of Americas New York, NY 10105 as a Lender And ARGOS THERAPEUTICS, INC., 4233 Technology Drive Durham, NC 27704 a Delaware corporation as Borrower Loan A Commitment Amount: $5,000,000 Loan B Commitment Amount: $7,500,000 Loan C Commitment Amount: $5,000,000 Loan D Commitment Amount: $7,500,000
