FORM OF COMMON STOCK PURCHASE WARRANTAtossa Therapeutics, Inc. • December 1st, 2020 • Pharmaceutical preparations • New York
Company FiledDecember 1st, 2020 Industry JurisdictionTHIS 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 [_____], 20241 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Atossa Therapeutics, Inc., a company incorporated under the laws of the State of Delaware (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 hold
ATOSSA THERAPEUTICS, INC. and VSTOCK TRANSFER, LLC, as Warrant AgentWarrant Agency Agreement • December 1st, 2020 • Atossa Therapeutics, Inc. • Pharmaceutical preparations • California
Contract Type FiledDecember 1st, 2020 Company Industry JurisdictionWARRANT AGENCY AGREEMENT, dated as of __, 2020 (“Agreement”), between Atossa Therapeutics, Inc., a corporation organized under the laws of the State of Delaware (the “Company”), and VStock Transfer, LLC., a limited lability company organized under the laws of California (the “Warrant Agent”).
UNDERWRITING AGREEMENTUnderwriting Agreement • December 1st, 2020 • Atossa Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledDecember 1st, 2020 Company Industry JurisdictionThe undersigned, Atossa Therapeutics, 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 Atossa Therapeutics, 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 Maxim 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.