UNI-PIXEL, INC. SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • October 3rd, 2007 • Uni-Pixel • Electronic components, nec • New York
This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is dated as of September 28, 2007, and is by and between UNI-PIXEL, INC., a Delaware corporation, with its principal office at 8708 Technology Forest Place, Suite 100, The Woodlands, Texas 77381 (the “Company”), and Merrill Lynch Pierce, Fenner & Smith Incorporated, a Delaware corporation (the “Purchaser”).
UNI-PIXEL, INC. INVESTOR’S RIGHTS AGREEMENTInvestor’s Rights Agreement • October 3rd, 2007 • Uni-Pixel • Electronic components, nec • Delaware
This INVESTOR’S RIGHTS AGREEMENT (this “Agreement”) is made as of September 28, 2007, by and between UNI-PIXEL, INC., a Delaware corporation, (the “Company”), and Merrill Lynch Pierce, Fenner & Smith Incorporated, a Delaware corporation (the “Investor”).
UNI-PIXEL, INC. COMMON STOCK PURCHASE WARRANTCommon Stock Purchase Warrant • October 3rd, 2007 • Uni-Pixel • Electronic components, nec • Delaware
This WARRANT (this “Warrant”) entitles Merrill Lynch Pierce, Fenner & Smith Incorporated (including any successors or assigns, the “Holder”), for value received, to purchase from Uni-Pixel, Inc., a Delaware corporation, at any time and from time to time, subject to the terms and conditions set forth herein, all or any portion of the Warrant Shares (as defined in Section 1 below) at the Exercise Price (as defined in Section 1 below), during the period starting from 5:00 a.m. on the Initial Exercise Date (as defined in Section 1 below) to 5:00 p.m., Eastern time, on the Expiration Date (as defined in Section 1 below), at which time this Warrant shall expire and become void. This Warrant is subject to the following terms and conditions:
