ContractWarrant Agreement • October 29th, 2014 • Neuralstem, Inc. • Biological products, (no disgnostic substances) • California
THIS WARRANT, AND THE SECURITIES ISSUABLE UPON THE EXERCISE OF THIS WARRANT, HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ ACT”), OR ANY STATE SECURITIES LAWS. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL (WHICH MAY BE COMPANY COUNSEL) REASONABLY SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED UNDER THE ACT, OR ANY APPLICABLE STATE SECURITIES LAWS.
SECOND AMENDMENTSecond Amendment • October 29th, 2014 • Neuralstem, Inc. • Biological products, (no disgnostic substances)
THIS SECOND AMENDMENT (the “Second Amendment”) to Loan and Security Agreement, dated as of October 28, 2014 (the “Effective Date”), is hereby entered into by and between Hercules Technology III, L.P. (“Lender”), and Neuralstem, Inc., a Delaware corporation (the “Borrower”). Either of the parties named above may be referred to herein as a (“Party”) and collectively, as the (“Parties.”) Any terms not specifically defined herein shall have the definition ascribed to them in the Loan Agreement and Warrant, as defined below.
