3,820,000 Shares of Common Stock and 1,528,000 Warrants to Purchase Shares of Common Stock APPLIED DNA SCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • March 27th, 2015 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of 3,820,000 shares of the Company’s common stock, $0.001 par value per share (the “Common Stock” and 1,528,000 warrants (the “Warrants”) with the right to purchase one share of Common Stock at an exercise price of $3.50 per share (together, “Securities”). The respective numbers of Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 573,000 shares of Common Stock (the “Option Shares”) and/or up to an additional 229,200 Warrants (the “Optio
APPLIED DNA SCIENCES, INC. COMMON STOCK PURCHASE WARRANTWarrant Agreement • March 27th, 2015 • Applied Dna Sciences Inc • Services-miscellaneous business services
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), hereby certifies that, as partial compensation for its services as underwriter to the Company, Maxim Group LLC, or its registered assigns (the “Holder”), is entitled to purchase from the Company up to a total of _____________ number of shares of Common Stock (each, a “Warrant” and collectively, the “Warrants,” and each such share of Common Stock, a “Warrant Security” and all such shares of Common Stock, the “Warrant Securities”), at any time and from time to time after the 180th day following March [27], 2015 and through and including, March [27], 2020, the fifth anniversary of such effective date (the “Expiration Date”), in accordance with FINRA Rule 5110(f)(2)(G)(i), and subject to the following terms and conditions:
