2,545,454 SHARES of Common Stock and 2,545,454 Warrants of SUN BIOPHARMA, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 1st, 2020 • Sun BioPharma, Inc. • Pharmaceutical preparations • New York
The undersigned, Sun BioPharma, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Sun BioPharma, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Craig-Hallum Capital Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SUN BIOPHARMA, INC. AND VSTOCK TRANSFER, LLC, AS WARRANT AGENTWarrant Agency Agreement • September 1st, 2020 • Sun BioPharma, Inc. • Pharmaceutical preparations • New York
WARRANT AGENCY AGREEMENT, dated as of September 1, 2020 (“Agreement”), between Sun BioPharma, Inc., a Delaware corporation (the “Company”), and VStock Transfer, LLC, a New York limited liability trust company (the “Warrant Agent”).
