SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • April 6th, 2010 • Tri Valley Corp • Crude petroleum & natural gas • New York
Item 9A of the Company’s 10-K for the year ended December 31, 2009, filed with the SEC on March __, 2010, which is incorporated herein by reference, describes the Company’s determinations that it has not maintained effective internal control over financial reporting or effective disclosure controls and procedures as of December 31, 2010, and the correspondence received by the Company from its independent auditors regarding potential material weaknesses and significant deficiencies in internal control over financial reporting.
WARRANT AGENT AGREEMENTWarrant Agent Agreement • April 6th, 2010 • Tri Valley Corp • Crude petroleum & natural gas • New York
THIS WARRANT AGENT AGREEMENT DATED AS OF APRIL 6, 2010 (THIS “WARRANT AGENT AGREEMENT”) IS BETWEEN TRI-VALLEY CORPORATION, A DELAWARE CORPORATION WITH OFFICES LOCATED AT 4550 CALIFORNIA AVENUE, SUITE 600, BAKERSFIELD, CALIFORNIA 93309 (THE “COMPANY”), AND REGISTRAR AND TRANSFER COMPANY, AS WARRANT AGENT (THE “WARRANT AGENT”).
