COMMON STOCK PURCHASE WARRANTCommon Stock Purchase Warrant • May 11th, 2015 • ImmunoCellular Therapeutics, Ltd. • 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 the close of business on the five (5) year anniversary of the Initial Exercise Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from ImmunoCellular Therapeutics, Ltd., 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 is issued pursuant to (i) the Underwriting Agreement, dated as of February 12, 2015, between the Company and Roth Capital Partners, LLC (the “Underwriting Agreement”) and (ii) the Compan
EMPLOYMENT AGREEMENT for Steven J. SwansonEmployment Agreement • May 11th, 2015 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations • California
This Employment Agreement (the “Agreement”) is made between ImmunoCellular Therapeutics, Ltd. (the “Company”) and Steven J. Swanson (the “Executive”) (collectively, the “Parties”).
ContractGMP Manufacturing Agreement • May 11th, 2015 • ImmunoCellular Therapeutics, Ltd. • Pharmaceutical preparations
[ * ] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.
