XENETIC BIOSCIENCES, INC. and Empire Stock Transfer, Inc., as Warrant Agent Warrant Agency Agreement Dated as of July 19, 2019 WARRANT AGENCY AGREEMENTWarrant Agency Agreement • July 22nd, 2019 • Xenetic Biosciences, Inc. • Pharmaceutical preparations • New York
WARRANT AGENCY AGREEMENT, dated as of July 19, 2019 (“Agreement”), between Xenetic Biosciences, Inc., a corporation organized under the laws of the State of Nevada (the “Company”), and Empire Stock Transfer, Inc. (the “Warrant Agent”).
FORM OF COMMON STOCK PURCHASE WARRANT XENETIC BIOSCIENCES, INC.Xenetic Biosciences, Inc. • July 22nd, 2019 • 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 5:00 p.m. (New York City time) on [___________] (the "Termination Date") but not thereafter, to subscribe for and purchase from Xenetic Biosciences, Inc., a Nevada 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 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 Warrant, subject to
XENETIC BIOSCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 22nd, 2019 • Xenetic Biosciences, Inc. • Pharmaceutical preparations • New York
The undersigned, XENETIC BIOSCIENCES, INC., a company incorporated under the laws of Nevada (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of XENETIC BIOSCIENCES, 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.
