COMMON STOCK PURCHASE WARRANT ALLARITY THERAPEUTICS, INC.Allarity Therapeutics, Inc. • September 15th, 2023 • 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 Stockholder Approval Date (as defined below), or if it is determined that such Stockholder Approval (as defined below) is not required by the applicable rules and regulations of the Nasdaq Capital Market (or any successor entity) from the stockholders of the Company with respect to issuance the Warrant and the Warrant Shares (as defined below) six months after the Issue Date (the “Initial Exercise Date”), and on or prior to 5:00 p.m. (New York City time) on the [five (5) year and six months] anniversary of the Stockholder Approval Date, or if it is determined that such Stockholder Approval is not required by the applicable rules and regulations of the Nasdaq Capital Market (or any successor entity) from the stockholders of
3i, LP LIMITED WAIVER AGREEMENTLimited Waiver Agreement • September 15th, 2023 • Allarity Therapeutics, Inc. • Pharmaceutical preparations
This Limited Waiver Agreement (the “Agreement”) dated and to be effective as of September 14, 2023, is made by and between Allarity Therapeutics, Inc., a Delaware corporation (the “Company”), and 3i, LP, a Delaware limited liability company (the “Investor”). The Company and the Investor may also each be referred to herein, individually as a “Party” and collectively as the “Parties.” Unless otherwise defined in this Agreement, capitalized terms have the same meaning as defined in the Securities Purchase Agreement by and between the Parties dated April 19, 2023 (the “April SPA”), and the Securities Purchase Agreement by and between the Parties dated July 5, 2023 (the “July SPA”), and together with the April SPA, the “SPAs”), and the Company’s Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, as amended (the “Series A COD”), the Securities Purchase Agreement by and between the Parties dated May 20, 2021 (the “2021 SPA”), the Registr
