NAVIDEA BIOPHARMACEUTICALS, INC. 8,000,000 Common Stock (par value $.001 per share) Underwriting AgreementUnderwriting Agreement • June 17th, 2019 • Navidea Biopharmaceuticals, Inc. • In vitro & in vivo diagnostic substances • New York
Navidea Biopharmaceuticals, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), proposes to issue and sell to the several underwriters named in Schedule A (the “Underwriters”) an aggregate of 8,000,000 shares of its common stock, par value $.001 per share (the “Shares”). The 8,000,000 Shares to be sold by the Company are called the “Firm Shares.” In addition, the Company has granted to the Underwriters an option to purchase up to an additional 1,200,000 Shares as provided in Section 2. The additional 1,200,000 Shares that may be sold by the Company pursuant to such option are collectively called the “Option Shares.” The Firm Shares and, if and to the extent such option is exercised, the Option Shares, are collectively called the “Offered Shares.” H.C. Wainwright & Co., LLC (“Wainwright”) has agreed to act as representative of the several Underwriters (in such capacity, the “Representative”) in connection with the offering and sale of the Offered Shares
UNDERWRITER’S COMMON STOCK PURCHASE WARRANTNotice of Exercise • June 17th, 2019 • Navidea Biopharmaceuticals, Inc. • In vitro & in vivo diagnostic substances • 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 Issue Date (the “Initial Exercise Date”) and, in accordance with FINRA Rule 5110(f)(2)(G)(i), will expire at 5:00 p.m. (New York City time) on [THE FIVE YEAR ANNIVERSARY OF THE EFFECTIVE DATE OF THE OFFERING] (the “Termination Date”), but not thereafter, to subscribe for and purchase from Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s common stock, par value $0.001 per share (the “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 is being issued pursuant to that certain Underwriting Agree
