APTOSE BIOSCIENCES INC. [●] Common Shares [●] Pre-Funded Warrants [●] Warrants UNDERWRITING AGREEMENTUnderwriting Agreement • December 29th, 2023 • Aptose Biosciences Inc. • Biological products, (no disgnostic substances)
Aptose Biosciences Inc., a company incorporated under the Canada Business Corporations Act (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of (i) [●] shares (the “Firm Shares”) of the Company’s common shares, no par value per share (the “Common Shares”), (ii) pre-funded warrants to purchase up to [●] Common Shares at an exercise price of $0.01 per share, in the form attached hereto as Exhibit A (the “Pre-Funded Warrants”), and (iii) warrants (the “Common Warrants”) to purchase up to [●] Common Shares, in the form attached hereto as Exhibit B (the “Firm Common Warrants,” and, together with the Pre-Funded Warrants and the Firm Shares, the “Firm Securities”). The respective amounts of the Firm Securities to be purchased by each of the several Under
COMMON SHARE PURCHASE WARRANT APTOSE BIOSCIENCES INC.S Warrant Agreement • December 29th, 2023 • Aptose Biosciences Inc. • Biological products, (no disgnostic substances)
THIS COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [Newbridge Securities Corporation] [other designee] 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 [•]3, 2023 (the “Initial Exercise Date”) and, in accordance with FINRA Rule 5110(g)(8)(A), prior to 5:00 p.m. (New York City time) on the date that is four (4) years following the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aptose Biosciences Inc., a company incorporated under the Canada Business Corporations Act (the “Company”), up to [ ] common shares in the capital of the Company (as subject to adjustment hereunder, the “Warrant Shares”). The purchase price of one Common Share under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
