COMMON STOCK PURCHASE WARRANT OCEAN POWER TECHNOLOGIES, INC.Common Stock Purchase Warrant • April 3rd, 2019 • Ocean Power Technologies, Inc. • Electric services • 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 “Issue Date”) and on or prior to the close of business on the five year anniversary of the Issue Date and on or prior to 5:00 p.m. (New York time) on [ , 2024] (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ocean Power Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares of common stock, $0.001 par value, of the Company (the “Common Stock”) (as subject to adjustment hereunder, the “Warrant Shares”). 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 Tr
PRE-FUNDED COMMON STOCK PURCHASE WARRANT OCEAN POWER TECHNOLOGIES, INC.Pre-Funded Common Stock Purchase Warrant • April 3rd, 2019 • Ocean Power Technologies, Inc. • Electric services • New York
THIS PRE-FUNDED 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 “Issue Date”) until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ocean Power Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares of common stock, $0.001 par value, of the Company (the “Common Stock”) (as subject to adjustment hereunder, the “Warrant Shares”). 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 Warran
WARRANT AGENCY AGREEMENTWarrant Agency Agreement • April 3rd, 2019 • Ocean Power Technologies, Inc. • Electric services • New York
WARRANT AGENCY AGREEMENT, dated as of April __, 2019 (“Agreement”), between Ocean Power Technologies, Inc., a Delaware corporation (the “Company”), and Computershare Inc., a Delaware corporation, and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company (collectively as “Warrant Agent”).
UNDERWRITING AGREEMENT between OCEAN POWER TECHNOLOGIES, INC. and as Representative of the Several Underwriters OCEAN POWER TECHNOLOGIES, INC. UNDERWRITING AGREEMENT [________] Shares of Common Stock (and/or Pre-Funded Warrants, as applicable)...Underwriting Agreement • April 3rd, 2019 • Ocean Power Technologies, Inc. • Electric services • New York
Ocean Power Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom A.G.P./Alliance Global Partners is acting as representative (the “Representative”), an aggregate of [ ] authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”) of the Company, together with warrants to purchase up to an aggregate of [ ] shares of Common Stock with an exercise price of $[ ] per share, subject to adjustment as provided therein (the “Firm Common Warrants”) in the form filed as an exhibit to the Registration Statement (as hereinafter defined). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional [ ] shares of Common Stock (the “Option Shares”) together with warrants to purchase up
