PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • November 24th, 2015 • Uni-Pixel • Electronic components, nec • California
Uni-Pixel, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell, through the placement agents (collectively, the “Placement Agents”), for whom Roth Capital Partners, LLC (“Roth”) is acting as “Lead Placement Agent” directly to various investors (the “Investors”) pursuant to the terms of subscription agreements to be entered into between the Company and each Investor, up to an aggregate of (i) 9,625,871 shares (the “Shares”) of common stock, $0.001 par value per share (the “Common Stock”) of the Company and (ii) warrants (the “Warrants”) in the form attached hereto as Exhibit A to purchase an aggregate of up to 9,625,871 shares of Common Stock (the “Warrant Shares”). The Shares and the Warrants shall be sold together as units (the “Units”), each Unit consisting of one Share and one Warrant, each to purchase one share of Common Stock. The Units will not be separately issued or certificated and the Shares and the Warr
SUBSCRIPTION AGREEMENTSubscription Agreement • November 24th, 2015 • Uni-Pixel • Electronic components, nec • New York
The undersigned (the “Investor”) hereby confirms its agreement with Uni-Pixel, Inc., a Delaware corporation (the “Company”) as follows:
