WARRANT TO PURCHASE COMMON STOCK ALZHEON, INC.Warrant Agreement • September 28th, 2018 • Alzheon, Inc. • Pharmaceutical preparations • New York
THIS WARRANT TO PURCHASE COMMON STOCK (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 , 2018 (the “Initial Exercise Date”) and, in accordance with FINRA Rule 5110(f)(2)(G)(i), prior to at 5:00 p.m. (New York time) on the date that is three (3) years following the Effective Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Alzheon, Inc., a Delaware corporation (the “Company”), up to shares of Common Stock, par value $0.001 per share, of the Company (the “Warrant Shares”), as subject to adjustment hereunder. 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). Terms not defined herein shall have the meanings ascribed to them in the Underwriting Agreement between ThinkEquity, a division of Fordham Financia
Alzheon, Inc. [•] Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • September 28th, 2018 • Alzheon, Inc. • Pharmaceutical preparations • New York
Alzheon, Inc., a corporation organized under the laws of Delaware (the “Issuer”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”), for whom ThinkEquity, a division of Fordham Financial Management, Inc. (“ThinkEquity”) and H.C. Wainwright & Co., LLC are acting as representatives (collectively, the “Representatives”), [•] shares of common stock, $0.001 par value per share (“Common Stock”) of the Issuer (said shares to be issued and sold by the Issuer being hereinafter called the “Underwritten Securities”). The Issuer also proposes to grant to the Underwriters an option to purchase up to [•] additional shares of Common Stock to cover over-allotments, if any (the “Option Securities;” the Option Securities, together with the Underwritten Securities, hereinafter called the “Securities”). [The Issuer also proposes to issue to the Representatives (and/or their designees) on the Closing Date (as defined herein) warrants (collectively, the “Representa
ContractLicense Agreement • September 28th, 2018 • Alzheon, Inc. • Pharmaceutical preparations • New York
[*] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 406 of the Securities Act of 1933, as amended.
