WARRANT AGREEMENT Applied DNA Sciences, Inc. and American Stock Transfer & Trust Company, LLC, as Warrant Agent WARRANT AGREEMENTWarrant Agreement • November 14th, 2019 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
THIS WARRANT AGREEMENT (this “Agreement”), dated as of November 15, 2019, is by and between Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company, as Warrant Agent (the “Warrant Agent”).
2,285,000 Shares of Common Stock and/or 2,285,000 Pre-Funded Warrants to Purchase Shares of Common Stock (or some combination of Common Stock and Pre- Funded Warrants) and 2,285,000 Common Warrants to Purchase Shares of Common Stock APPLIED DNA...Underwriting Agreement • November 14th, 2019 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to Maxim Group LLC (the “Representative”) and each of the other underwriters listed on Schedule I hereto (each an “Underwriter,” and collectively the “Underwriters”), an aggregate of 2,285,000 shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”) and/or 2,285,000 pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share (or some combination of Common Stock and Pre-Funded Warrants), and 2,285,000 common warrants (the “Common Warrants” and, together with the Pre-Funded Warrants, the “Warrants”) with the right to purchase one share of Common Stock at an exercise price of $5.25. The Common Stock and the Warrants are collectively referred to herein as the “Securities.” In addition, the Company proposes to grant to the Re
