SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 15th, 2017 • Uni-Pixel • Electronic components, nec • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of February 15, 2017, between, Uni-Pixel, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 15th, 2017 • Uni-Pixel • Electronic components, nec • California
Uni-Pixel, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell, through the placement agents listed on Schedule A (collectively, the “Placement Agents”), for whom Roth Capital Partners, LLC is acting as representative (in such capacity, the “Representative”), up to 10,530,000 units (each a “Unit” and collectively, the “Units”) consisting of (x) (i) one share of Common Stock (the “Common Stock”), par value $0.001 per share (each, such share of Common Stock, a “Share”), plus (ii) a Warrant to purchase 0.45 Shares (each a “Warrant” and collectively, the “Warrants”) directly to various investors (the “Investors”).
February ___, 2017 [Purchaser] Dear Sirs and Madams:Uni-Pixel • February 15th, 2017 • Electronic components, nec
This agreement (the “Leak-Out Agreement”) is being delivered to you in connection with an understanding by and among Uni-Pixel, Inc., a Delaware corporation (the “Company”), and the person or persons named on the signature pages hereto (collectively, the “Holder”).
