Preferred Stock Purchase Warrant Sample Contracts
Exhibit 4.5 NEITHER THIS WARRANT NOR ANY SECURITIES THAT MAY BE ISSUED UPON EXERCISE HEREOF HAVE BEEN REGISTERED OR QUALIFIED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE TRANSFERRED OR...Preferred Stock Purchase Warrant • November 1st, 2005 • Epicept Corp • Pharmaceutical preparations • Delaware
Contract Type FiledNovember 1st, 2005 Company Industry Jurisdiction
Standard Contracts
ContractPreferred Stock Purchase Warrant • April 17th, 2015 • Invuity, Inc. • Surgical & medical instruments & apparatus • California
Contract Type FiledApril 17th, 2015 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • April 11th, 2011 • Kior Inc • California
Contract Type FiledApril 11th, 2011 Company JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
PREFERRED STOCK PURCHASE WARRANT BIOLASE, INC.Preferred Stock Purchase Warrant • May 24th, 2023 • Biolase, Inc • Dental equipment & supplies • New York
Contract Type FiledMay 24th, 2023 Company Industry JurisdictionTHIS PREFERRED STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value of $0.001 received by the Company, _____ 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 _____, 2023 (the “Initial Exercise Date”) and prior to 5:00 p.m. (New York City time) on _____, 2025 (the “Termination Date”) but not thereafter, to subscribe for and purchase from BIOLASE, Inc., a Delaware corporation (the “Company”), up to ______ shares of Series H Preferred Stock (as subject to adjustment hereunder, the “Preferred Warrant Shares”). The purchase price of one share of Series H Preferred 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
ContractPreferred Stock Purchase Warrant • June 10th, 2011 • Kior Inc • Industrial organic chemicals • California
Contract Type FiledJune 10th, 2011 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
QuickLinks -- Click here to rapidly navigate through this documentPreferred Stock Purchase Warrant • May 4th, 2007 • NovaCardia Inc • Pharmaceutical preparations • California
Contract Type FiledMay 4th, 2007 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "1933 ACT"), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • December 3rd, 2010 • Fluidigm Corp • Laboratory analytical instruments • California
Contract Type FiledDecember 3rd, 2010 Company Industry JurisdictionNEITHER THIS WARRANT NOR THE SHARES OF CAPITAL STOCK ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR THE COMPANY HAS RECEIVED AN OPINION OF COUNSEL, REASONABLY ACCEPTABLE TO THE COMPANY, TO THE EFFECT THAT SUCH SALE OR TRANSFER IS EXEMPT FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS.
ContractPreferred Stock Purchase Warrant • April 20th, 2006 • Riverbed Technology, Inc. • California
Contract Type FiledApril 20th, 2006 Company JurisdictionTHIS WARRANT AND THE SECURITIES ISSUED UPON ITS EXERCISE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • December 12th, 2013 • Care.com Inc • Services-personal services • California
Contract Type FiledDecember 12th, 2013 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • January 9th, 2008 • Bayhill Therapeutics, Inc. • California
Contract Type FiledJanuary 9th, 2008 Company JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • April 16th, 2014 • Zoosk, Inc • Services-computer programming, data processing, etc. • California
Contract Type FiledApril 16th, 2014 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • December 19th, 2014 • Debt Resolve Inc • Services-business services, nec • New York
Contract Type FiledDecember 19th, 2014 Company Industry JurisdictionTHIS WARRANT AND THE SHARES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER APPLICABLE STATE SECURITIES LAWS. THIS WARRANT AND SUCH SHARES MAY BE OFFERED, SOLD OR TRANSFERRED ONLY IN COMPLIANCE WITH THE REQUIREMENTS OF SUCH ACT AND OF ANY APPLICABLE STATE SECURITIES LAWS.
EXHIBIT 10.6 NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON EXERCISE...Preferred Stock Purchase Warrant • August 19th, 1999 • Ibasis Inc • Delaware
Contract Type FiledAugust 19th, 1999 Company Jurisdiction
ContractPreferred Stock Purchase Warrant • December 23rd, 2013 • Genocea Biosciences, Inc. • Biological products, (no disgnostic substances) • California
Contract Type FiledDecember 23rd, 2013 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • September 10th, 2010 • Anacor Pharmaceuticals Inc • Pharmaceutical preparations • California
Contract Type FiledSeptember 10th, 2010 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "1933 ACT"), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
PREFERRED STOCK PURCHASE WARRANTPreferred Stock Purchase Warrant • October 15th, 2019 • TELA Bio, Inc. • Surgical & medical instruments & apparatus • Delaware
Contract Type FiledOctober 15th, 2019 Company Industry JurisdictionThis Warrant is one of a series of warrants to purchase shares of the Company’s capital stock (each, a “Warrant” and collectively, the “Warrants”) being issued by the Company in connection with the transactions contemplated by that certain Secured Convertible Note and Warrant Purchase Agreement dated as of January 18, 2017 by and between the Company, the Holder and the other Purchasers set forth therein (the “Purchase Agreement”). Pursuant to the Purchase Agreement, the Company is issuing to the Purchasers certain convertible promissory notes (each, a “Note” and collectively, the “Notes”). As an inducement to each Purchaser to purchase a Note, at the time of the sale and issuance by the Company of each such Note, pursuant to the terms of the Purchase Agreement the Company is also issuing to such Purchaser a Warrant in the form hereof. The Note to which this Warrant relates is referred to herein as the “Applicable Note.” Capitalized terms used but not defined herein shall have the meani
ContractPreferred Stock Purchase Warrant • December 23rd, 2013 • Genocea Biosciences, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledDecember 23rd, 2013 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • March 22nd, 2021 • Rapid Micro Biosystems, Inc. • Laboratory analytical instruments • Delaware
Contract Type FiledMarch 22nd, 2021 Company Industry JurisdictionNEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM UNDER THE ACT AND APPLICABLE LAWS.
ContractPreferred Stock Purchase Warrant • December 3rd, 2010 • Fluidigm Corp • Laboratory analytical instruments • California
Contract Type FiledDecember 3rd, 2010 Company Industry JurisdictionNEITHER THIS WARRANT NOR THE SHARES OF CAPITAL STOCK ISSUABLE UPON EXERCISE HEREOF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR THE COMPANY HAS RECEIVED AN OPINION OF COUNSEL, REASONABLY ACCEPTABLE TO THE COMPANY, TO THE EFFECT THAT SUCH SALE OR TRANSFER IS EXEMPT FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS.
ContractPreferred Stock Purchase Warrant • August 30th, 2007 • ARYx Therapeutics, Inc. • California
Contract Type FiledAugust 30th, 2007 Company JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
QuickLinks -- Click here to rapidly navigate through this documentPreferred Stock Purchase Warrant • October 9th, 2007 • Anacor Pharmaceuticals Inc • Pharmaceutical preparations • California
Contract Type FiledOctober 9th, 2007 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "1933 ACT"), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
2- 3 issuance tax in respect thereof or other cost incurred by the Company in connection with such exercise and the related issuance of shares of Warrant Stock. Each share of Warrant Stock issuable upon exercise of this Warrant shall, upon payment of...Preferred Stock Purchase Warrant • July 29th, 1999 • Internap Network Services Corp/Wa • Washington
Contract Type FiledJuly 29th, 1999 Company Jurisdiction
4. NET ISSUE ELECTION. The Holder may elect to receive, without the payment by the Holder of any additional consideration, shares of Preferred Stock equal to the value of this Warrant or any portion hereof by the surrender of this Warrant or such...Preferred Stock Purchase Warrant • February 4th, 2000 • Rigel Pharmaceuticals Inc • California
Contract Type FiledFebruary 4th, 2000 Company Jurisdiction
ContractPreferred Stock Purchase Warrant • December 13th, 2007 • NameMedia, Inc. • Services-business services, nec • California
Contract Type FiledDecember 13th, 2007 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
ContractPreferred Stock Purchase Warrant • April 17th, 2015 • Invuity, Inc. • Surgical & medical instruments & apparatus • California
Contract Type FiledApril 17th, 2015 Company Industry JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
THIS WARRANT, THE SHARES OF PREFERRED STOCK ISSUABLE UPON ITS EXERCISE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF SUCH PREFERRED STOCK ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 4 OF THIS WARRANTPreferred Stock Purchase Warrant • April 6th, 2004 • Nuvelo Inc • In vitro & in vivo diagnostic substances • Massachusetts
Contract Type FiledApril 6th, 2004 Company Industry JurisdictionVariagenics, Inc., a Delaware corporation (the “Company”), for value received, hereby certifies that Sprout Venture Capital, L.P. or its registered assigns (the “Registered Holder”), is entitled, subject to the terms set forth below, to purchase from the Company, at any time or from time to time on or after the date of issuance and on or before July 30, 2004 at not later than 5:00 p.m. (Boston, Massachusetts time), Thirty-Eight Thousand Five Hundred Seventeen (38,517) shares of Series E Convertible Preferred Stock, $.01 par value per share, of the Company (“Series E Preferred Stock”), at a purchase price of $3.25 per share. The shares purchasable upon exercise of this Warrant, and the purchase price per share, each as adjusted from time to time pursuant to the provisions of this Warrant, are hereinafter referred to as the “Warrant Shares” and the “Purchase Price,” respectively.
ContractPreferred Stock Purchase Warrant • December 15th, 2006 • Aruba Networks, Inc. • California
Contract Type FiledDecember 15th, 2006 Company JurisdictionTHIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD OR TRANSFERRED UNLESS SUCH SALE OR TRANSFER IS IN ACCORDANCE WITH THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS OR SOME OTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF SUCH ACT AND APPLICABLE LAWS IS AVAILABLE WITH RESPECT THERETO.
THIS AMENDED AND RESTATED WARRANT AND THE SHARES OF PREFERRED STOCK ISSUED UPON ITS EXERCISE ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 5 OF THIS WARRANTPreferred Stock Purchase Warrant • April 1st, 2015 • Gelesis Inc • Pharmaceutical preparations • Delaware
Contract Type FiledApril 1st, 2015 Company Industry JurisdictionGelesis, Inc., a Delaware corporation (the “Company”), for value received, hereby certifies that , or its registered assigns (the “Registered Holder”), is entitled, subject to the terms and conditions set forth below, to purchase from the Company, at any time or from time to time on or after Original Issue Date and before 5:00 p.m. (Boston time) on the Expiration Date (as defined below), Warrant Shares (as defined below), at a purchase price of $0.01 per share. The purchase price per share, as adjusted from time to time pursuant to the provisions of this Warrant, is hereinafter referred to as the “Purchase Price.” This Warrant has been issued pursuant to that certain Series A-4 Stock and LLC Common Share Purchase Agreement, dated August 16, 2013, by and among the Company and the signatories thereto (the “Purchase Agreement”) and all such Warrants that are so issued are collectively referred to herein as the “Series A-4 Warrants”.
EXHIBIT 10.20 (Form of Preferred Stock Purchase Warrant) THIS WARRANT AND THE SECURITIES ISSUABLE UPON ITS EXERCISE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR ANY STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD OR OTHERWISE...Preferred Stock Purchase Warrant • August 18th, 1999 • Emed Technologies Corp • Delaware
Contract Type FiledAugust 18th, 1999 Company Jurisdiction
OBALON THERAPEUTICS, INC. PREFERRED STOCK PURCHASE WARRANTPreferred Stock Purchase Warrant • September 9th, 2016 • Obalon Therapeutics Inc • Surgical & medical instruments & apparatus • California
Contract Type FiledSeptember 9th, 2016 Company Industry JurisdictionThis Preferred Stock Purchase Warrant (the “Warrant”) is issued as of February 24, 2012, by Obalon Therapeutics, Inc., a Delaware corporation (the “Company”), to [ ], or its assigns (the “Holder”). This Warrant is one of a series of Warrants containing substantially identical terms and conditions issued by the Company pursuant to the Note and Warrant Purchase Agreement dated as of February 24, 2012 by and among the Company and the purchasers described therein (the “Purchase Agreement”) with an aggregate principal amount of $1,500,000.00 (the “Notes”). Capitalized terms used but not defined herein shall have the meaning therefor set forth in the Purchase Agreement or the Notes, as applicable. This Warrant is subject to the following terms and conditions.
AMENDMENT NO. 01 Dated March 20, 2007 TO that certain Preferred Stock Purchase Warrant No. PAWLH-1 dated as of March 21, 2005, ("Warrant") by and between LIGHTHOUSE CAPITAL PARTNERS V, L.P. ("Holder") and NOVACARDIA, INC. ("Company"). (All capitalized...Preferred Stock Purchase Warrant • March 29th, 2007 • NovaCardia Inc • Delaware
Contract Type FiledMarch 29th, 2007 Company Jurisdiction
SERIES [1/2/3] PREFERRED STOCK PURCHASE WARRANT INNOVATION PHARMACEUTICALS INC.Preferred Stock Purchase Warrant • October 9th, 2018 • Innovation Pharmaceuticals Inc. • Pharmaceutical preparations
Contract Type FiledOctober 9th, 2018 Company IndustryTHIS SERIES [1/2/3] PREFERRED STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to 6:00 p.m. (New York City time) on _______1 (provided that, if such date is not a Trading Day, then such date shall be the immediately following Trading Day) (the “Termination Date”) but not thereafter, to subscribe for and purchase from Innovation Pharmaceuticals Inc., a Nevada corporation (the “Company”), up to ______2 shares (as subject to adjustment hereunder, the “Warrant Shares”) of Series B 5% Convertible Preferred Stock of the Company (the “Preferred Stock”); provided, however, that, in the event of an Authorized Share Failure (as defined in the Purchase Agreement) or a Registration Statement Availability Failure, for each day of an Authorized Share Failure and for
SERIES F-[1][2] PREFERRED STOCK PURCHASE WARRANT Helios and Matheson Analytics Inc.Preferred Stock Purchase Warrant • March 26th, 2019 • Helios & Matheson Analytics Inc. • Services-miscellaneous business services
Contract Type FiledMarch 26th, 2019 Company IndustryTHIS SERIES F-[1][2] PREFERRED STOCK PURCHASE WARRANT (this “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 [March 25, 2019]1 [the date that Shareholder Approval is obtained and deemed effective]2 (the “Initial Exercise Date”), and on or prior to 5:00 p.m. (New York City time) on the five-year anniversary of the Initial Exercise Date (the “Termination Date”), but not thereafter, to subscribe for and purchase from Helios and Matheson Analytics Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s Series B Preferred Stock, par value $0.01 per share (the “Preferred Stock”). The purchase price of one share of Preferred Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
PREFERRED STOCK PURCHASE WARRANT OF ROW 44, INC.Preferred Stock Purchase Warrant • February 8th, 2013 • Par Capital Management Inc • Blank checks • Delaware
Contract Type FiledFebruary 8th, 2013 Company Industry JurisdictionTHIS CERTIFIES THAT, for value received, PAR Investment Partners, L.P., together with its successors and registered assigns (the “Holder”), is entitled to subscribe for and purchase, on the terms hereof, that number of shares of the Series C-2 Preferred Stock, par value $0.0001 per share (the “Series C-2 Stock”), of Row 44, Inc., a Delaware corporation (the “Company”), set forth below, subject to the following terms and conditions:
PREFERRED STOCK PURCHASE WARRANT WISA TECHNOLOGIES, INC.Preferred Stock Purchase Warrant • October 19th, 2023 • Wisa Technologies, Inc. • Semiconductors & related devices • New York
Contract Type FiledOctober 19th, 2023 Company Industry JurisdictionTHIS PREFERRED 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 October 17, 2023 (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on October 17, 2025 (the “Termination Date”) but not thereafter, to subscribe for from WiSA Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares of Series B Preferred Stock (as subject to adjustment hereunder, the “Preferred Warrant Shares”). The subscription price of one share of Series B Preferred 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