Convertible Note and Warrant Purchase Agreement Sample Contracts
EXHIBIT A CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • February 27th, 2006 • Sco Capital Partners LLC • Pharmaceutical preparations • New York
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • December 30th, 2019 • AzurRx BioPharma, Inc. • Pharmaceutical preparations • New York
This Convertible Note and Warrant Purchase Agreement, dated as of December __, 2019 (this “Agreement”), is entered into by and among AzurRx BioPharma, Inc., a Delaware corporation (the “Company”), and the other signatories hereto (each a “Lender” and collectively, the “Lenders”).
REGENERX BIOPHARMACEUTICALS, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT July 3, 2023Convertible Note and Warrant Purchase Agreement • July 6th, 2023 • Essetifin SPA • Pharmaceutical preparations
THIS CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”), dated as of July 3, 2023 is entered into by and between RegeneRx Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and Essetifin S.p.A., an Italian corporation (the “Investor”).
EX-99.3 4 a15-25223_1ex99d3.htm EX-99.3 Execution Version CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT By and Among THE9 LIMITED, THE SECURITY PROVIDERS LISTED ON SCHEDULE 1 ATTACHED HERETO And SPLENDID DAYS LIMITED Dated as of November 24, 2015Convertible Note and Warrant Purchase Agreement • May 5th, 2020 • New York
EX-10.19 3 dex1019.htm FORM OF CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • May 5th, 2020 • Washington
This Convertible Note and Warrant Purchase Agreement (the “Agreement”) is made as of ____________, by and between Helix BioMedix, Inc., a Delaware corporation (the “Company”), and the undersigned (the “Investor”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT by and among Access Pharmaceuticals, Inc. and the parties named herein on Schedule 1, as Purchasers December 6, 2006Convertible Note and Warrant Purchase Agreement • April 2nd, 2007 • Access Pharmaceuticals Inc • Pharmaceutical preparations • New York
This CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) is dated as of December 6, 2006, among Access Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the purchasers identified on Schedule 1 hereto (each a “Purchaser” and collectively the “Purchasers”).
EX-10.14 23 d711637dex1014.htm EX-10.14 Execution Version CAPNIA, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • May 5th, 2020 • California
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made and entered into as of January 16, 2012 (the “Effective Date”), by and among Capnia, Inc., a Delaware corporation (the “Company”), with offices at 2445 Faber Place, Suite 250, Palo Alto, CA 94303, and the persons and entities listed on the schedule of investors attached hereto as Exhibit A (each, an “Investor” and collectively, the “Investors”).
AVAX TECHNOLOGIES, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT Dated as of October 15, 2009Convertible Note and Warrant Purchase Agreement • February 4th, 2011 • Avax Technologies Inc • Biological products, (no disgnostic substances) • Delaware
AVAX Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to the Purchaser listed on the signature page hereto (the “Purchaser”), $1,400,000.00 aggregate principal amount of the Company’s 6% Convertible Secured Promissory Note due June 1, 2010 (the “Note”) and a warrant to purchase up to 93,333,333 fully paid and non-assessable shares of common stock, par value $.004 per share, of the Company (the “Common Stock”) for $0.015 per share (the “Warrant”) pursuant to this Convertible Note and Warrant Purchase Agreement (the “Agreement”) and the Intellectual Property Security Agreement between the Company and the Purchaser dated October 15, 2009 (the “IP Security Agreement”). The Note will be convertible into shares of Common Stock or other securities of the Company, as more fully described therein.
EX-10.15 24 d711637dex1015.htm EX-10.15 Execution Version CAPNIA, INC. OMNIBUS AMENDMENT TO CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT, CONVERTIBLE PROMISSORY NOTES AND WARRANTS TO PURCHASE SHARESConvertible Note and Warrant Purchase Agreement • May 5th, 2020 • California
This Omnibus Amendment to Convertible Note and Warrant Purchase Agreement, Convertible Promissory Notes and Warrants to Purchase Shares (this “Amendment”) is made and entered into as of July 31, 2012 (the “Effective Date”), by and among Capnia, Inc., a Delaware corporation (the “Company”), with offices at 2445 Faber Place, Suite 250, Palo Alto, CA 94303, and the persons and entities who are signatories hereto (the “Investors”).
ContractConvertible Note and Warrant Purchase Agreement • May 5th, 2020 • Nevada
EX-4.1 2 digitalpost_8k-ex0401.htm FORM OF CONVERTIBLE NOTE AND WARRANT AGREEMENT Exhibit 4.1 CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT This Convertible Note and Warrant Purchase Agreement ("Agreement") is made and entered into as of October __, 2007 (“Effective Date”) by and between DigitalPost Interactive, Inc., a Nevada corporation ("Company"), and [Name] ("Purchaser"). WHEREAS, the Company desires to sell to the Purchaser, and the Purchaser desires to purchase from the Company, a 8% convertible promissory note in the principal amount of $[Amount] (“Investment”) in the form attached hereto as Exhibit A ("Note") with a conversion at any time during the Term by Purchaser into the common stock of the Company (“Common Stock”) at a fixed price of $0.40 per share (“Conversion Price”), and a 24 month maturity (“Term”). WHEREAS, as an inducement for the Purchaser to enter into this Agreement, the Company shall grant to the Purchaser on the date of this Agreement a warrant to purchase
FIRST AMENDMENT TO CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • August 21st, 2024 • Terran Orbital Corp • Guided missiles & space vehicles & parts • New York
This CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT is entered into as of October 31, 2022 (this “Agreement”) among TERRAN ORBITAL CORPORATION, a Delaware corporation (the “Issuer”), the Guarantors (as defined herein) from time to time party hereto, the Purchasers (as defined herein) from time to time party hereto and U.S. Bank Trust Company, National Association, as Collateral Agent (as defined herein)) for the Purchasers.
UNITY WIRELESS CORPORATION CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT March 24, 2005Convertible Note and Warrant Purchase Agreement • April 20th, 2005 • Unity Wireless Corp • Radiotelephone communications • New York
This Convertible Note and Warrant Purchase Agreement (the “Agreement”) is made as of the 24th day of March, 2005 by and between Unity Wireless Corporation, a Delaware corporation (the “Company”) and each of the entities or persons listed on Exhibit A-1 attached to this Agreement (each a “Holder” and together the “Holders”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • January 30th, 2012 • Entremed Inc • Biological products, (no disgnostic substances) • New York
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of January 20, 2012, by and among EntreMed, Inc., a Delaware corporation (the “Company”), and the parties listed on the Schedule of Investors attached to this Agreement as Exhibit A (individually, an “Investor” and collectively the “Investors”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • January 29th, 2024 • Vitro Biopharma, Inc. • Biological products, (no disgnostic substances) • Colorado
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is dated as of __________, 2023, by and between Vitro Biopharma, Inc., a Nevada corporation (the “Company”), and ____________ (the “Purchaser”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • April 14th, 2016 • Geospatial Corp • Services-business services, nec • Pennsylvania
THIS CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (“Agreement”) is dated as of September 30, 2015, by and among (i) Geospatial Corporation, a Nevada corporation (the “Company”), and (ii) the persons and entities whose names are set forth on the Schedule of Purchasers attached hereto as Schedule A (such persons and entities are hereinafter collectively referred to herein as “Purchasers” and each individually as a “Purchaser”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT by and among AXS-One Inc. and the parties named herein on Schedule 1, as Purchasers November 13, 2007Convertible Note and Warrant Purchase Agreement • November 16th, 2007 • Axs One Inc • Services-prepackaged software • New York
This CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) is dated as of November 13, 2007, among AXS-One Inc., a Delaware corporation (the “Company”), and the purchasers identified on Schedule 1 hereto (each a “Purchaser” and collectively the “Purchasers”).
EX-10.23 8 d244198dex1023.htm CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT BIOAMBER INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • May 5th, 2020 • Delaware
THIS CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (“Agreement”) is made and entered into as of November 23rd, 2010 between BioAmber Inc., a Delaware corporation (the “Company”), and FCPR Sofinnova Capital VI, a French entity (the “Purchaser”).
QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC. AND THE PURCHASERS NAMED HEREIN CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT September 15, 2013Convertible Note and Warrant Purchase Agreement • September 18th, 2013 • Quantum Fuel Systems Technologies Worldwide, Inc. • Motor vehicle parts & accessories • New York
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of September 15, 2013 by and between QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., a Delaware corporation (the “Company”), and those purchasers listed on the attached Exhibit A, as such exhibit may be amended from time to time (each a “Purchaser”, and collectively, the “Purchasers”).
September 18, 2019 MEILI AUTO HOLDINGS LIMITED and SYNERGY INVESTMENT CO. LTD CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • October 30th, 2019 • Meili Auto Holdings LTD • Services-business services, nec • New York
FORM OF CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • March 20th, 2015 • Jaguar Animal Health, Inc. • Pharmaceutical preparations • Delaware
THIS CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (the “Agreement”) is dated for references purposes as of December 23, 2014 (the “Effective Date”), by and between Jaguar Animal Health, Inc., a Delaware corporation (the “Company”) and the investor whose name and signature are set forth on the signature page to this Agreement (the “Investor”).
HYPERION THERAPEUTICS, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • April 13th, 2012 • Hyperion Therapeutics Inc • California
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of October 26, 2011 (the “Effective Date”) by and between Hyperion Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the purchasers listed on Exhibit A attached to this Agreement (each a “Purchaser” and together the “Purchasers”).
MTI MICROFUEL CELLS INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • November 14th, 2008 • Mechanical Technology Inc • Measuring & controlling devices, nec • Delaware
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of __________, 2008 by and among MTI MicroFuel Cells Inc., a Delaware corporation (the “Company”) and each of the investors listed on Exhibit A attached to this Agreement (each a “Purchaser” and together the “Purchasers”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT dated as of November 24, 2010 by and between DIGITAL DOMAIN HOLDINGS CORPORATION, PBC MGPEF DDH, LLC and PBC DIGITAL HOLDINGS, LLCConvertible Note and Warrant Purchase Agreement • July 1st, 2011 • Digital Domain Media Group, Inc. • Services-motion picture & video tape production
This AMENDED AND RESTATED CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) dated as of November 24, 2010, is by and between PBC DIGITAL HOLDINGS, LLC, a Delaware limited liability company (“PBC DH”), PBC MGPEF DDH, LLC, a Delaware limited liability company (“PBC Macquarie” and, together with PBC DH, the “Purchaser”) and DIGITAL DOMAIN HOLDINGS CORPORATION, a Florida corporation (the “Company”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT by and among AXS-One Inc. and the parties named herein on Schedule 1, as Purchasers October 30, 2008Convertible Note and Warrant Purchase Agreement • November 3rd, 2008 • Axs One Inc • Services-prepackaged software • New York
This CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) is dated as of October 30, 2008, among AXS-One Inc., a Delaware corporation (the “Company”), and the purchasers identified on Schedule 1 hereto (each a “Purchaser” and collectively the “Purchasers”).
CAPNIA, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • June 10th, 2014 • Capnia, Inc. • Electromedical & electrotherapeutic apparatus • California
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of February 10, 2010, by and among Capnia, Inc., a Delaware corporation (the “Company”), with offices at 2445 Faber Place, Suite 250, Palo Alto, CA 94303 and the persons and entities listed on the Schedule of Investors attached hereto as Exhibit A (the “Investors”).
HYPERION THERAPEUTICS, INC. RESTATED OMNIBUS AMENDMENT TO CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT DATED APRIL 1, 2011, CONVERTIBLE UNSECURED PROMISSORY NOTES DATED APRIL 1, 2011, MAY 2, 2011, MAY 4, 2011 AND MAY 10, 2011 AND WARRANTS TO...Convertible Note and Warrant Purchase Agreement • May 24th, 2012 • Hyperion Therapeutics Inc • Pharmaceutical preparations • California
This Restated Omnibus Amendment (the “Amendment”) to the Convertible Note and Warrant Purchase Agreement dated April 1, 2011, the Convertible Unsecured Promissory Notes dated April 1, 2011, May 2, 2011, May 4, 2011 and May 10, 2011 and the Warrants to Purchase Shares of Common Stock, each dated April 1, 2011, May 2, 2011, May 4, 2011 and May 10, 2011 is made as of April [ ], 2012 (the “Effective Date”) by and among Hyperion Therapeutics, Inc., a Delaware company (the “Company”) and the other parties listed on the signature pages hereto (the “Prior Purchasers”). All capitalized terms set forth herein shall have the meanings given to such terms in the Prior Purchase Agreement, April/May 2011 Notes and April/May 2011 Warrants (each as defined below), unless otherwise defined herein.
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT by and among Netsol Technologies, Inc., as Issuer and Seller and the Purchasers named herein, as Purchasers with respect to Seller’s and Warrants to Purchase Common Stock September 13, 2011Convertible Note and Warrant Purchase Agreement • September 16th, 2011 • Netsol Technologies Inc • Services-prepackaged software • New York
This CONVERTIBLE NOTE PURCHASE AGREEMENT (“Agreement”) is dated as of September 13, 2011, by and among NetSol Technologies, Inc., a Nevada corporation (the “Seller”), and each of the persons signatory hereto (each is individually referred to as a “Purchaser” and collectively, the “Purchasers”).
ECO2 PLASTICS, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT September 2, 2008Convertible Note and Warrant Purchase Agreement • September 19th, 2008 • Eco2 Plastics Inc • Hazardous waste management • California
This Convertible Note and Warrant Purchase Agreement (the “Agreement”) is made as of September 2, 2008 (the “Effective Date”), by and among ECO2 PLASTICS, INC., a Delaware corporation (the “Company”), and each of those persons and entities, severally and not jointly, listed as a Purchaser on the Schedule of Purchasers attached as Schedule I hereto. Such persons and entities are hereinafter collectively referred to herein as “Purchasers” and each individually as a “Purchaser.”
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • July 1st, 2011 • Digital Domain Media Group, Inc. • Services-motion picture & video tape production
This CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) dated as of December 30, 2010, is by and between PBC DIGITAL HOLDINGS II, LLC, a Delaware limited liability company (the “Purchaser”) and DIGITAL DOMAIN HOLDINGS CORPORATION, a Florida corporation (the “Company”).
CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • December 17th, 2024 • CIMG Inc. • Retail-miscellaneous retail • New York
This Convertible Note and Warrant Purchase Agreement, dated as of December 12, 2024 (this “Agreement”, as the same may hereafter be modified, supplemented, extended, amended, restated or amended and restated from time to time), is entered into by and among CIMG Inc., a Nevada corporation (the “Company”), and the persons and entities listed on the schedule of investors attached hereto as Schedule I (as updated from time to time) (each an “Investor” and collectively, the “Investors”).
AMENDMENT NO. 2 TO CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT, SECURITY AGREEMENT AND SECURED CONVERTIBLE PROMISSORY NOTES AND CONSENTConvertible Note and Warrant Purchase Agreement • August 13th, 2009 • Mechanical Technology Inc • Measuring & controlling devices, nec • Delaware
This Amendment No. 2 to Convertible Note and Warrant Purchase Agreement, Security Agreement and Secured Convertible Promissory Notes and Consent (this “Amendment and Consent”) is made as of April 15th, 2009 (the “Effective Date”) by and among MTI MicroFuel Cells Inc., a Delaware corporation (the “Company”) and each of the “Prior Purchasers” and the “New Purchasers” listed on Exhibit A attached to this Amendment (each a “Purchaser” and together the “Purchasers”), and amends (i) that certain Convertible Note and Warrant Purchase Agreement, dated as of September 18, 2008 and amended February 20, 2009 (the “Purchase Agreement”) between the Company and certain of the Purchasers, (ii) that certain Security Agreement, dated as of September 18, 2008 and amended February 20, 2009 (the “Security Agreement”) between the Company and certain of the Purchasers, and (iii) those certain Secured Convertible Promissory Notes, each dated as of September 18, 2008 and amended February 20, 2009 (the “Notes”
AMENDMENT NO. 1 TO CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • March 14th, 2008 • Environmental Tectonics Corp • Miscellaneous electrical machinery, equipment & supplies
This Amendment No. 1 to Convertible Note and Warrant Purchase Agreement, entered into as of March 11, 2008 and effective as of February 19, 2008 (this “Amendment”), to the Convertible Note and Warrant Purchase Agreement (the “Agreement”), dated as of February 18, 2003, by and between Environmental Tectonics Corporation, a Pennsylvania corporation (“Borrower”), and H.F. Lenfest (“Purchaser”) is made upon the following terms and conditions. All capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Agreement.
HYPERION THERAPEUTICS, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • April 13th, 2012 • Hyperion Therapeutics Inc • California
This Convertible Note and Warrant Purchase Agreement (this “Agreement”) is made as of April 1, 2011 (the “Effective Date”) by and between Hyperion Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the purchasers listed on Exhibit A attached to this Agreement (each a “Purchaser” and together the “Purchasers”).
PHOTOWORKS, INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • June 2nd, 2006 • Photoworks Inc /Wa • Services-photofinishing laboratories • Washington
THIS CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENT (the "Agreement") is made as of the 30th day of May, 2006 (the “Effective Date”) by and among PHOTOWORKS, INC., a Washington corporation (the “Company”), and the purchasers identified on the signature page hereof and included in Exhibit A hereto (the “Purchasers”).
ALTEON INC. CONVERTIBLE NOTE AND WARRANT PURCHASE AGREEMENTConvertible Note and Warrant Purchase Agreement • January 16th, 2007 • Alteon Inc /De • Pharmaceutical preparations • New York