COMMON STOCK PURCHASE WARRANT Aridis Pharmaceuticals, Inc.Aridis Pharmaceuticals, Inc. • October 5th, 2022 • Pharmaceutical preparations
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 set forth above (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on April 7, 2028 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), up to 7,207,208 shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s 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).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • March 15th, 2023 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of March 14, 2023, between Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
PREFUNDED COMMON STOCK PURCHASE WARRANT Aridis Pharmaceuticals, Inc.Aridis Pharmaceuticals, Inc. • June 27th, 2023 • Pharmaceutical preparations • New York
THIS PREFUNDED 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 set forth above (the “Initial Exercise Date”) until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aridis Pharmaceuticals, Inc., 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).
COMMON STOCK PURCHASE WARRANT Aridis Pharmaceuticals, Inc.Common Stock Purchase Warrant • August 4th, 2021 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
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 set forth above (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 Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), up to _______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s 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).
ARIDIS PHARMACEUTICALS, INC., ISSUER AND [TRUSTEE], TRUSTEE INDENTURE DATED AS OF , 20__ SENIOR DEBT SECURITIESIndenture • September 2nd, 2022 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
INDENTURE, dated as of [●], among Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and [TRUSTEE], as trustee (the “Trustee”):
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • July 21st, 2023 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of July ___, 2023, between Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
ARIDIS PHARMACEUTICALS, INC. Shares of Common Stock (par value $0.0001 per share) At-the-Market Sales AgreementSales Agreement • January 19th, 2022 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Virtu Americas LLC (the “Agent”), as follows:
PRE-FUNDED COMMON STOCK PURCHASE WARRANT Aridis Pharmaceuticals, Inc.Aridis Pharmaceuticals, Inc. • August 4th, 2021 • Pharmaceutical preparations
THIS PRE-FUNDED 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 set forth above (the “Initial Exercise Date”) and until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), up to _______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s 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).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • October 5th, 2022 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of October 5, 2022, between Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the purchaser identified on the signature pages hereto (including its successors and assigns, the “Purchaser”).
COMMON STOCK PURCHASE WARRANT Aridis Pharmaceuticals, Inc.Aridis Pharmaceuticals, Inc. • July 21st, 2023 • 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 July ___, 20281 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aridis Pharmaceuticals, Inc., 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).
PREFUNDED COMMON STOCK PURCHASE WARRANT ARIDIS PHARMACEUTICALS, INC.Aridis Pharmaceuticals, Inc. • October 5th, 2022 • Pharmaceutical preparations
THIS PREFUNDED 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 Closing Date (the “Initial Exercise Date”) until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), up to 5,407,208 shares (as subject to adjustment hereunder, the “Warrant Shares”) of the Company’s 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).
ARIDIS PHARMACEUTICALS, INC., ISSUER AND [TRUSTEE], TRUSTEE INDENTURE DATED AS OF , 20__ SUBORDINATED DEBT SECURITIESAridis Pharmaceuticals, Inc. • September 2nd, 2022 • Pharmaceutical preparations • New York
INDENTURE , dated as of [●], among Aridis Pharmaceuticals, Inc. , a Delaware corporation (the “Company”), and [ TRUSTEE ], as trustee (the “Trustee”):
Note Purchase AgreementNote Purchase Agreement • November 30th, 2021 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Utah
This Note Purchase Agreement (this “Agreement”), dated as of November 23, 2021, is entered into by and between Aridis Pharmaceuticals, Inc., a Delaware corporation (“Company”), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (“Investor”).
ARIDIS PHARMACEUTICALS, INC., ISSUER AND [TRUSTEE], TRUSTEE INDENTURE DATED AS OF , 20 SUBORDINATED DEBT SECURITIESAridis Pharmaceuticals, Inc. • September 3rd, 2019 • Pharmaceutical preparations • New York
INDENTURE , dated as of [ · ], among Aridis Pharmaceuticals, Inc. , a Delaware corporation (the “Company”), and [ TRUSTEE ], as trustee (the “Trustee”):
Security AgreementSecurity Agreement • May 1st, 2023 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Utah
This Security Agreement (this “Agreement”), dated as of April 26, 2023, is executed by Aridis Pharmaceuticals, Inc., a Delaware corporation (“ARDS Inc.”), Aridis Biopharmaceuticals, LLC, a Delaware limited liability company (“ARDS LLC”), and Aridis Pharmaceuticals, C.V., a Netherlands partnership (“ARDS CV,” and together with ARDS Inc. and ARDS LLC, “Debtor”), in favor of Streeterville Capital, LLC, a Utah limited liability company (“Secured Party”).
Underwriting AgreementUnderwriting Agreement • August 6th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Aridis Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”), for whom you (the “Representative”) are acting as the representative, [•] shares of common stock, par value $0.001 per share (“Common Stock”) of the Company (said shares to be issued and sold by the Company being hereinafter called the “Underwritten Securities”). The Company also proposes to grant to the Underwriters an option to purchase up to [•] additional shares of Common Stock to cover over-allotments, if any (the “Option Securities”; the Option Securities, together with the Underwritten Securities, being hereinafter called the “Securities”). Certain terms used herein are defined in Section 20 hereof.
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • December 12th, 2022 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • California
This Securities Purchase Agreement (this “Agreement”) is entered into as of December __, 2022 (the “Effective Date”), by and between Aridis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the purchaser identified on the signature pages hereto (the “Subscriber”).
FORMULATION DEVELOPMENT AGREEMENTFormulation Development Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • California
This FORMULATION DEVELOPMENT AGREEMENT (this “Agreement”) is entered into as of June l, 2007 (the “Effective Date”) by and between Aridis Pharmaceuticals, LLC, a California corporation with its business at 5941 Optical Court, San Jose, CA 95138 (“Aridis”) and PATH Vaccine Solutions, a nonprofit organization and affiliate of PATH organized as a separate legal entity under the laws of the State of Washington, having a primary place of business at 1455 NW Leary Way, Seattle, WA 98107 (“PVS”).
LICENSE AGREEMENTLicense Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
This License Agreement (the “Agreement”) is made and entered into effective as of January 6, 2010 (the “Effective Date”), by and between Aridis Pharmaceuticals, LLC a corporation organized and existing under the laws of California (hereinafter “Aridis”) and Emergent Product Development Gaithersburg Inc., a Delaware corporation (hereinafter “Emergent”). Aridis and Emergent each may be referred to herein individually as a “Party,” or collectively as the “Parties.”
CO-EXCLUSIVE LICENSE AGREEMENT BETWEEN THE UNIVERSITY OF CHICAGO AND ARIDIS PHARMACEUTICAL FOR STAPH ALPHA TOXIN TECHNOLOGYLicense Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
This License Agreement (“Agreement”), dated June 13, 2017 (the “Effective Date”), is between The University of Chicago, an Illinois not-for-profit corporation (“University”), and Aridis Pharmaceuticals, Inc., a Delaware Corporation, having an address at 5941 Optical Court, San Jose, CA (“Company”). Each hereunder may be referred to separately as the “Party”, or together as the “Parties”.
FIRST AMENDMENT TO LICENSE AGREEMENTLicense Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Iowa
This First Amendment to License Agreement (the “Amendment”) is entered into as of the 10th day of January 2017 (the “Effective Date”) by and between the University of Iowa Research Foundation (“UIRF”), and Aridis Pharmaceuticals, Inc (“Licensee”).
ContractAsset Purchase Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
Portions of this Exhibit, indicated by the mark “[***],” were omitted and have been filed separately with the Securities and Exchange Commission pursuant to the Registrant’s application requesting confidential treatment pursuant to Rule 406 of the Securities Act of 1933, as amended
LICENSE and OPTION AGREEMENT BRIGHAM YOUNG UNIVERSITY and ARIDIS, LLCLicense and Option Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Utah
This Agreement, effective July 29, 2005 is entered into between Brigham Young University, a Utah non-profit corporation and institution of higher education, with its principal campus and place of business located at Provo, Utah 84602 (referred to in this Agreement as “BYU”) and Aridis, LLC, a California corporation with its principal place of business located at 350 Cervantes Road, Portola Valley, CA 94028, (referred to in this Agreement as “LICENSEE”).
JOINT VENTURE CONTRACT IN RESPECT OF SHENZHEN ARIMAB BIOPHARMACEUTICALS CO., LTD.Joint Venture Contract • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
COLLABORATION AND OPTION AGREEMENTCollaboration and Option Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • England and Wales
This COLLABORATION AND OPTION AGREEMENT (the “Agreement”) is made effective as of the “Effective Date” by and between ARIDIS PHARMACEUTICALS LLC, a company organized and existing under the laws of California having its registered office at 5941 Optical Court, San Jose, CA, 95138 USA (“ARIDIS”), and GLAXOSMITHKLINE BIOLOGICALS S.A., a company organized and existing under the laws of Belgium under number RPM Nivelles — BE — 0440 872918 and having its registered office at rue de l’Institut 89, 1330 Rixensart, Belgium (“GSK”). ARIDIS and GSK are sometimes referred to herein individually as a “Party” and collectively as the “Parties”.
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • October 14th, 2020 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of October 13, 2020, is by and among Aridis Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 5941 Optical Ct., San Jose, CA 95138 (the ”Company”), and the buyers identified on the signature pages hereto (the “Buyers”).
THE BRIGHAM AND WOMEN’S HOSPITAL, INC. FIRST AMENDMENT to EXCLUSIVE PATENT LICENSE AGREEMENT BWH Agreement No: 107605.06 BWH Case Nos: 10706, 11049Patent License Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
This First Amendment to the License Agreement (as defined below) (“First Amendment”) is made as of the eighteenth day of February, 2016 (“First Amendment Effective Date”), by and between Aridis Pharmaceuticals, Inc, a Delaware corporation, having an office at 5941 Optical Court, San Jose, CA 95138 (“Company”) and The Brigham and Women’s Hospital, Inc., a not-for-profit Massachusetts corporation, with a principal place of business at 75 Francis Street, Boston, Massachusetts 02115 (“Hospital”), each referred to herein individually as a “Party” and collectively as the “Parties”.
THE BRIGHAM AND WOMEN’S HOSPITAL, INC. EXCLUSIVE PATENT LICENSE AGREEMENT BWH Agreement No: 107605.05 BWH Case Nos: 10706, 11049Exclusive Patent License Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Massachusetts
This License Agreement (“Agreement”) is made as of the tenth day of November, 2010 (“Effective Date”), by and between Aridis Pharmaceuticals, LLC, a California corporation, having an office at 5941 Optical Court, San Jose, CA 95138 (“Company”) and The Brigham and Women’s Hospital, Inc., a not-for-profit Massachusetts corporation, with a principal place of business at 75 Francis Street, Boston, Massachusetts 02115 (“Hospital”), each referred to herein individually as a “Party” and collectively as the “Parties”.
PUBLIC HEALTH SERVICE PATENT LICENSE AGREEMENT—EXCLUSIVE and NON-EXCLUSIVE COVER PAGEPatent License Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • District of Columbia
This Patent License Agreement, hereinafter referred to as the “Agreement”, consists of this Cover Page, an attached Agreement, a Signature Page, Appendix A (List of Patent(s) and/or Patent Application(s)), Appendix B (Fields of Use and Territory and Biological Materials and Documentation), Appendix C (Royalties), Appendix D (Modifications), Appendix E (Benchmarks), Appendix F (Commercial Development Plan) and Appendix G (Plan for Developing Countries). The Parties to this Agreement are:
AMENDMENT NO. 1 TO LICENSE AGREEMENTLicense Agreement • August 12th, 2021 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
This Amendment No. 1 to the License Agreement between MedImmune Limited and Aridis Pharmaceutitcals, Inc. (the “Amendment”) is entered into as 09 August 2021 (the “Amendment Effective Date”), by and between:
Note Purchase And Loan Restructuring AgreementNote Purchase and Loan Restructuring Agreement • May 1st, 2023 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Utah
This Note Purchase and Loan Restructuring Agreement (this “Agreement”), dated as of April 26, 2023, is entered into by and among Aridis Pharmaceuticals, Inc., a Delaware corporation (“ARDS Inc.”), Aridis Biopharmaceuticals, LLC, a Delaware limited liability company (“ARDS LLC”), Aridis Pharmaceuticals, C.V., a Netherlands partnership (“ARDS CV,” and together with ARDS Inc. and ARDS LLC, “Company”), and Streeterville Capital, LLC, a Utah limited liability company, its successors and/or assigns (“Investor”).
Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed LICENSE AGREEMENT between MEDIMMUNE LIMITED and ARIDIS PHARMACEUTICALS, INC Dated...License Agreement • July 19th, 2021 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
This License Agreement (this “Agreement”) is made and entered into effective as of 12 July 2021 (the “Effective Date”) by and between MedImmune Limited, a company incorporated in England and Wales with company number 2451177 and with its registered office address at Milstein Building, Granta Park, Cambridge, CB21 6GH (“MedImmune”) and Aridis Pharmaceuticals, Inc., a Delaware corporation located at 983 University Avenue, Building B, Los Gatos, California 95032 (“Licensee”). MedImmune and Licensee are sometimes referred to herein individually as a “Party” and collectively as the “Parties.”
STOCK SUBSCRIPTION AGREEMENT ARIDIS PHARMACEUTICALS, INC.Stock Subscription Agreement • July 30th, 2019 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • California
This Stock Subscription Agreement (the “Agreement”) is entered into as of July 19, 2019 (the “Effective Date”), by and between Aridis Pharmaceuticals, Inc., a Delaware corporation (hereinafter the “Company”) and Serum International B.V., a corporation formed under the laws of the Netherlands (the “Subscriber”).
Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXCLUSIVE LICENSE AGREEMENTExclusive License Agreement • November 23rd, 2020 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations • Alabama
This exclusive license agreement (this “Agreement”) is made and is effective as of September 10, 2020 (the “Effective Date”) between The UAB Research Foundation (“UABRF”), a non-profit 501(c)(3) corporation incorporated in the State of Alabama, and Aridis Pharmaceuticals, Inc. (the “Licensee”), a publicly traded company incorporated under the laws of the state of Delaware, with its principal places of operations as described in the signature block on the signature page below.
TECHNOLOGY LICENSE AND COLLABORATION AGREEMENT BY AND BETWEEN SHENZHEN ARIMAB BIOPHARMACEUTICALS CO., LTD. AND ARIDIS PHARMACEUTICALS,INC. Date: July 2, 2018Technology License and Collaboration Agreement • July 18th, 2018 • Aridis Pharmaceuticals, Inc. • Pharmaceutical preparations
This Technology License and Collaboration Agreement (this “Agreement”) is entered into as of July 2, 2018 (the “Effective Date”) by and between Shenzhen Arimab Biopharmaceuticals Co., Ltd., a corporation organized under the laws of the PRC having a place of business at Room 5044, No. 21, Langshan Lu, Song Ping Shan, Nanshan District, Shenzhen, China (“Company”), and Aridis Pharmaceuticals, Inc., a corporation organized under the laws of Delaware, USA, having a place of business at 5941 Optical Court, San Jose, California 95138, the USA (“Licensor”). Company and Licensor may be referred to herein respectively as a “Party” or collectively as “Parties.”
