Amendment To Warrant Agreement Sample Contracts

Parallax Health Sciences, Inc. – Amendment to Warrant Agreement (June 22nd, 2018)

THIS FIRST AMENDMENT TO THE WARRANT AGREEMENT dated June __, 2018, by and between Parallax Health Sciences, Inc., a Nevada corporation, with its principal office at 1327 Ocean Ave., Suite M, Santa Monica, CA 90401, (the "Company") and _________________________, (the "Registered Holder") is hereby amended as follows with the remaining provisions of the Warrant Agreement remaining in full force and effect.

CytRx – First Amendment to Warrant Agreement (August 1st, 2017)

This First Amendment to Warrant Agreement (this "Amendment") is entered into as of July 27, 2017(the "Effective Date") by and between CytRx Corporation, a Delaware corporation (the "Company"), and Hercules Technology III, L.P., a Delaware limited partnership (the "Warrantholder"), and amends that certain Warrant Agreement to Purchase Shares of the Common Stock of the Company, dated as of February 5, 2016, issued by the Company to the Warrantholder (the "Agreement"). Capitalized terms used herein without definition shall have the meanings ascribed to such terms in the Agreement.

FIRST AMENDMENT TO WARRANT AGREEMENT Dated as of May 23, 2017 Between Digital Turbine, Inc. And FIRST AMENDMENT TO WARRANT AGREEMENT (May 24th, 2017)

FIRST AMENDMENT TO WARRANT AGREEMENT, dated as of May 23, 2017 (the "First Amendment") by and among Digital Turbine, Inc., a company duly incorporated and existing under the laws of Delaware, United States of America, and having its principal office at 300 GUADALUPE STREET, SUITE 302, AUSTIN TX 78701 (the "Company") and U.S. Bank National Association, as Warrant Agent (the "Warrant Agent") under the Warrant Agreement, dated as of September 28, 2016 (as amended, the "Warrant Agreement"). Capitalized terms used but not defined herein are defined in the Warrant Agreement and are used herein with the meanings assigned to them therein.

Third Amendment to Warrant Agreement (March 6th, 2017)

THIS THIRD AMENDMENT (this "Amendment"), dated as of March 3, 2017, to the Warrant Agreement to Purchase Shares of the Common Stock of Mast Therapeutics, Inc., dated as of August 11, 2015 (as amended by the Prior Amendments (as defined below), the "Warrant Agreement"), is made by and between MAST THERAPEUTICS, INC., a Delaware corporation (the "Company"), and HERCULES TECHNOLOGY III, L.P., a Delaware limited partnership (the "Warrantholder").

Globaloptions Group – Amendment to Warrant Agreement (February 7th, 2017)

This Amendment to Warrant Agreement, dated as of December 5, 2016 (the "Amendment"), hereby amends that certain Warrant dated as of December 4, 2015, and as amended November 29, 2016 (as so amended, the "Warrant Agreement"), by and between Jay S. Walker ("JSW"), The Upside Commerce Group, LLC (formerly, Flexible Travel Company, LLC), a Delaware limited liability company (the "Issuer") and Walker Innovation Inc., a Delaware Corporation (the "Holder"). Capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Warrant Agreement.

Globaloptions Group – Amendment to Warrant Agreement (February 7th, 2017)

This Amendment to Warrant Agreement, dated as of November 29, 2016 (the "Amendment"), hereby amends that certain Warrant dated as of December 4, 2015, (the "Warrant Agreement"), by and between Jay S. Walker ("JSW"), The Upside Commerce Group, LLC (formerly, Flexible Travel Company, LLC), a Delaware limited liability company (the "Issuer") and Walker Innovation Inc., a Delaware Corporation (the "Holder"). Capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Warrant Agreement.

Oncobiologics, Inc. – Amendment to Warrant Agreement Oncobiologics, Inc. And American Stock Transfer & Trust Company, Llc, as Warrant Agent (February 6th, 2017)

THIS AMENDMENT, dated February 6, 2017 ("Amendment"), to the Warrant Agreement, dated as of May 18, 2016 (the "Warrant Agreement"), by and between Oncobiologics, 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").

Applied DNA Sciences – Second Amendment to Warrant Agreement (November 3rd, 2016)

THIS SECOND AMENDMENT TO WARRANT AGREEMENT (this "Second Amendment"), dated as of November 2, 2016, 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").

Asterias Biotherapeutics, Inc. – AMENDMENT TO WARRANT AGREEMENT Asterias Biotherapeutics, Inc. And American Stock Transfer & Trust Company, LLC, as Warrant Agent (September 19th, 2016)

This Amendment (the "Amendment") the Warrant Agreement (as defined below) is made and entered into as of September 19, 2016 by and between Asterias Biotherapeutics, Inc. (the "Company") and American Stock Transfer & Trust Company, LLC, (the "Warrant Agent").

First Amendment to Warrant Agreement (June 30th, 2016)

This First Amendment to the Warrant Agreement (as defined below) (the "Amendment"), dated June 27, 2016, is between Tecogen Inc., a Delaware Corporation, located at 45 First Ave., Waltham, MA 02451 (the "Company") and __________________, a sophisticated investor (the "Holder").

Atlantic Capital Bancshares, Inc. – Amendment to Warrant Agreement (May 13th, 2016)

THIS AMENDMENT TO WARRANT AGREEMENT (the "Amendment"), dated effective as of __________ __, 2016, between Atlantic Capital Bancshares, Inc., a Georgia corporation (the "Corporation"), and _______________ (the "Warrant Holder").

Second Amendment to Warrant Agreement (February 29th, 2016)

THIS SECOND AMENDMENT (this "Amendment"), dated as of February 25, 2016, to the Warrant Agreement to Purchase Shares of the Common Stock of Mast Therapeutics, Inc., dated as of August 11, 2015, as previously amended pursuant to that certain First Amendment thereto dated as of September 28, 2015, (as so amended, the "Warrant Agreement"), is made by and between MAST THERAPEUTICS, INC., a Delaware corporation (the "Company"), and HERCULES TECHNOLOGY III, L.P., a Delaware limited partnership (the "Warrantholder").

FIRST AMENDMENT TO Warrant AGREEMENT (November 12th, 2015)

THIS FIRST AMENDMENT TO WARRANT AGREEMENT (the "Amendment") is made and dated as of November 11, 2015, and is entered into by and between REACHLOCAL, INC., a Delaware corporation ( "Company"), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation ("Warrantholder"),

First Amendment to Warrant Agreement (November 12th, 2015)

THIS FIRST AMENDMENT (this "Amendment"), dated as of September 28, 2015, to the Warrant Agreement to Purchase Shares of the Common Stock of Mast Therapeutics, Inc., dated as of August 11, 2015 (the "Warrant Agreement"), is made by and between MAST THERAPEUTICS, INC., a Delaware corporation (the "Company"), and HERCULES TECHNOLOGY III, L.P., a Delaware limited partnership (the "Warrantholder").

FIRST AMENDMENT TO WARRANT AGREEMENT Zosano Pharma Corporation Dated as of June 23, 2015 (The Effective Date) (June 29th, 2015)

This First Amendment to Warrant Agreement (the Amendment) is dated as of June 23, 2015, by and between Zosano Pharma Corporation, a Delaware corporation formerly named ZP Holdings, Inc. (the Company), and Hercules Technology Growth Capital, Inc., a Maryland corporation (Hercules).

Axion Power International, Inc. – AMENDED AND RESTATED AMENDMENT TO WARRANT AGREEMENT Axion Power International, Inc. And Continental Stock Transfer and Trust Company, as Warrant Agent AMENDMENT TO WARRANT AGREEMENT (June 17th, 2015)

THIS AMENDED AND RESTATED AMENDMENT (this "Amendment"), dated as of June __, 2015, to the Warrant Agreement (the "Agreement"), originally dated October 23, 2014 and the Amendment to the Agreement dated on or about May 14, 2015 (the "Original Amendment"), is entered into by and among Axion Power International, Inc., a Delaware corporation (the "Company"), the Holder set forth on the signature page and Continental Stock Transfer and Trust Company, as Warrant Agent (the "Warrant Agent"). All capitalized terms used and not defined herein are used as defined in the Agreement.

Axion Power International, Inc. – AMENDMENT TO WARRANT AGREEMENT Axion Power International, Inc. And Continental Stock Transfer and Trust Company, as Warrant Agent AMENDMENT TO WARRANT AGREEMENT (May 14th, 2015)

THIS AMENDMENT (this "Amendment"), dated as of May __, 2015, to the Warrant Agreement (the "Agreement"), originally dated October 23, 2014, is entered into by and between Axion Power International, Inc., a Delaware corporation (the "Company"), and Continental Stock Transfer and Trust Company, a , as Warrant Agent (the "Warrant Agent"). All capitalized terms used and not defined herein are used as defined in the Agreement.

Vaccinogen Inc. – Amendment to Warrant Agreement to Purchase Stock of Vaccinogen, Inc. (May 5th, 2015)

AMENDMENT, dated as of [DATE], to that certain Warrant Agreement (the "Warrant") to Purchase Stock of Vaccinogen, Inc., a Maryland corporation (the "Company"), issued by the Company to [NAME OF WARRANTHOLDER] (the "Holder" and, together with the Company, the "Parties"). All terms not otherwise defined herein shall have the meanings given to them in the Warrant.

Applied DNA Sciences – First Amendment to Warrant Agreement (April 1st, 2015)

THIS FIRST AMENDMENT TO WARRANT AGREEMENT (this "Amendment"), dated as of April 1, 2015, 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").

Eagle Bulk Shipping Inc – Amendment No. 1 to Warrant Agreement (July 2nd, 2014)

This Amendment no. 1 to WARRANT AGREEMENT (this "Amendment"), dated as of July 2, 2014, is entered into by and among Eagle Bulk Shipping Inc. (the "Company") and the Warrant Holders signatory hereto (the "Consenting Warrant Holders"). Capitalized terms used but not otherwise defined herein shall have the meaning ascribed to them in the Warrant Agreement or the Warrants (as each is defined below).

Daybreak Oil & Gas, Inc. – First Amendment to Warrant Agreement (May 29th, 2014)

This FIRST AMENDMENT TO WARRANT AGREEMENT (this Amendment) is dated as of February 14, 2014, between DAYBREAK OIL AND GAS, INC., a Washington corporation with its chief executive offices located at 601 W. Main Ave., Suite 1017, Spokane, Washington 99201 (the Company), and MAXIMILIAN INVESTORS LLC, a Delaware limited liability company with an address of 152 West 57th Street, 54th Floor, New York, New York 10019 (together with any successors or assigns, the Subscriber).

Glori Energy Inc. – Amendment No. 1 to Warrant Agreement (May 2nd, 2014)

This Amendment No. 1 to Warrant Agreement ("Amendment") is made and entered into as of this April 14, 2014, between Infinity Cross Border Acquisition Corporation, a British Virgin Islands business company ("Company"), and Continental Stock Transfer & Trust Company, a New York corporation ("Warrant Agent").

Amendment to Warrant Agreements (April 24th, 2014)

General Motors Company, a Delaware corporation (the "Company"), and U.S. Bank National Association (the "Warrant Agent") are parties to three Amended and Restated Warrant Agreements originally with identical provisions, each dated as of October 16, 2009 (collectively, including any further amendments, the "Warrant Agreements").

Glori Energy Inc. – Amendment No. 1 to Warrant Agreement (April 18th, 2014)

This Amendment No. 1 to Warrant Agreement ("Amendment") is made and entered into as of this ___________, 2014, between Infinity Cross Border Acquisition Corporation, a British Virgin Islands business company ("Company"), and Continental Stock Transfer & Trust Company, a New York corporation ("Warrant Agent").

Amendment No. 1 to WARRANT AGREEMENT for Red Mountain Resources, Inc. (February 4th, 2014)

This Amendment No. 1 (this "Amendment") to Warrant Agreement, dated as of July 24, 2013 (the "Agreement") by and between Broadridge Corporate Issuer Solutions, Inc. ("Broadridge") and Red Mountain Resources, Inc. ("Company"), is effective as of January 31, 2014. All capitalized terms not otherwise defined herein shall have the meanings set forth in the Agreement.

EquiTrust USA – Amendment to Warrant Agreements (December 20th, 2013)

This AMENDMENT TO WARRANT AGREEMENTS (this Amendment) is made and entered into as of December 19, 2013 (the Amendment Date) by and between EQUITRUST USA, a Maryland real estate investment trust (Issuer), and CROWNIKK USA, LLC, a Delaware limited liability company (Holder).

First Amendment to Warrant Agreement (November 18th, 2013)

THIS FIRST AMENDMENT TO WARRANT AGREEMENT (this Amendment) is entered into as of November 15, 2013, by and between HERCULES TECHNOLOGY GROWTH CAPITAL, INC. (Warrantholder) and AMERICAN SUPERCONDUCTOR CORPORATION (Company).

Amendment to Warrant Agreement (April 3rd, 2013)

This Amendment to Warrant Agreement (this Amendment) is entered into as of the 28th day of March, 2013 (the Amendment Date) by and between General Growth Properties, Inc. (GGP), a Delaware corporation, and American Stock Transfer & Trust Company, LLC, a Delaware limited liability company, as successor to Mellon Investor Services LLC, a New Jersey limited liability company (together with its successors and assigns, the Warrant Agent). Defined terms used but not otherwise defined herein shall have the meaning assigned to them in the Warrant Agreement (as defined below).

First Amendment to Warrant Agreement (March 1st, 2013)

This First Amendment to Warrant Agreement (this "Amendment"), dated as of November 1, 2012, but effective as of October 15, 2012 (the "Effective Date"), is made by and between SemGroup Corporation, a Delaware corporation (the "Company"), and Computershare Shareowner Services LLC, a New Jersey limited liability company, as successor-in-interest to Mellon Investor Services LLC, as Warrant Agent (the "Warrant Agent"). Each of the Company and the Warrant Agent may be referred to herein individually as a "Party" and collectively as the "Parties."

Mission Cmnty Bancp – Contract (September 7th, 2012)
Chase Packaging Corp – Amendment No. 1 to Warrant Agreement (July 5th, 2012)

THIS Amendment No. 1 to Warrant Agreement (this Amendment) is entered into effective as of June 30, 2012, by and between Chase Packaging Corporation, a Texas corporation (the Company), and , or his, her, or its registered assigns (the Holder).

Amendment to Warrant Agreement (May 11th, 2012)

This Amendment to Warrant Agreement (the Agreement) is made as of December 5, 2005 by and between Silicon Valley Bank (Holder) and OncoMed Pharmaceuticals, Inc. (Company)

NextWave Wireless – Amendment No. 1 to Warrant Agreement (April 16th, 2012)

This Amendment No. 1 (this Amendment) to the Warrant Agreement (the Agreement), dated as of April 8, 2009, between the Initial Holder listed on Schedule I thereto (the Initial Holder) and NextWave Wireless, Inc., a Delaware corporation (the Issuer), is entered into as of April 16, 2012 and effective as of April 6, 2012. All capitalized terms used in this Amendment and not otherwise defined herein shall have the respective meanings given to such terms in the Agreement.

NeurogesX, Inc. – First Amendment to Warrant Agreement (March 27th, 2012)

THIS FIRST AMENDMENT TO WARRANT AGREEMENT (this Amendment) is entered into as of March 26, 2012, by and between HERCULES TECHNOLOGY GROWTH CAPITAL, INC. (the Warrantholder) and NEUROGESX, INC. (the Company).

BrightSource Energy Inc – Third Amendment to Warrant Agreement (October 12th, 2011)

This THIRD AMENDMENT TO WARRANT AGREEMENT (this Amendment) is dated and effective as of September 15, 2011 by and between BrightSource Energy, Inc., a Delaware corporation (the Company), and Hercules Technology Growth Capital, Inc., a Maryland corporation (Warrantholder).