COMMON STOCK PURCHASE WARRANT ADIAL PHARMACEUTICALS, INC.Common Stock Purchase Warrant • February 12th, 2019 • Adial Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
THIS COMMON STOCK PURCHASE WARRANT (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 the date hereof (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on February , 20241 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Adial Pharmaceuticals, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. 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). This Warrant shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole registered holder of this Warrant, subject to a Ho
Adial Pharmaceuticals, Inc. and VStock Transfer, LLC, as Warrant Agent Warrant Agency Agreement Dated as of ___________, 2019 WARRANT AGENCY AGREEMENTWarrant Agency Agreement • February 12th, 2019 • Adial Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
WARRANT AGENCY AGREEMENT, dated as of __________, 2019 (“Agreement”), between Adial Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and VStock Transfer, LLC, a New Jersey limited liability company (the “Warrant Agent”).
ADIAL PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 12th, 2019 • Adial Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
The undersigned, ADIAL PHARMACEUTICALS, INC., a company incorporated under the laws of Delaware (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of ADIAL PHARMACEUTICALS, INC., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representatives (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which MAXIM GROUP LLC (“Maxim”) and JOSEPH GUNNAR & CO., LLC (“JG”) are acting as representatives to the several Underwriters (in such capacity, the “Representatives” and each a “Representative” and if there are no Underwriters other than the Representatives, references to multiple Underwriters shall be disregarded and the term Representatives as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
