Investor Relations

SEC Filings

Form 8-K
ALTIMMUNE, INC. filed this Form 8-K on 03/11/2019
Document Outline
Entire Document (576.4 KB)
Subdocument 1 - 8-K - 8-K
Page 1 - UNITED STATES
Page 2 - Item 1.01. Entry into a Material Definitive Agreement.
Page 3 - Item 8.01. Other Events.
Page 4 - SIGNATURE
Subdocument 2 - EX-1.1 - EX-1.1
Page 1 - Exhibit 1.1
Page 2 - Section 2. Representations, Warranties and Covenants of the Company. The Company hereby represents,
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Page 16 - Section 3. Delivery and Payment. Each Closing shall occur at the offices of the Lowenstein Sandler L
Page 17 - N/A
Page 18 - N/A
Page 19 - Section 5. Conditions of the Obligations of the Placement Agent. The obligations of the Placement Ag
Page 20 - N/A
Page 21 - Section 6. Payment of Expenses. The Company, whether or not the transactions contemplated hereunder
Page 22 - Section 7. Indemnification and Contribution.
Page 23 - for any legal or other expenses reasonably incurred by the Company in connection with defending agai
Page 24 - on the one hand and the Placement Agent on the other from the offering and sale of the Units or (ii)
Page 25 - Section 10. Notices. All communications hereunder shall be in writing and shall be mailed, hand deli
Page 26 - N/A
Page 27 - Section 11. Successors. This Agreement will inure to the benefit of and be binding upon the parties
Page 28 - and the Placement Agent has been created in respect of any of the transactions contemplated by this
Page 29 - N/A
Page 30 - SCHEDULE I
Page 31 - N/A
Page 32 - N/A
Page 33 - N/A
Page 34 - SCHEDULE II
Subdocument 3 - EX-4.1 - EX-4.1
Page 1 - Exhibit 4.1
Page 2 - Aggregate Exercise Price ) in cash by wire transfer of immediately available funds or, if the provis
Page 3 - Exercise Price ).
Page 4 - FAST ). In the event that the Company changes transfer agents while this Warrant is outstanding, the
Page 5 - Maximum Percentage ) of the number of shares of Common Stock outstanding immediately after giving ef
Page 6 - Reported Outstanding Share Number ). If the Company receives an Exercise Notice from the Holder at a
Page 7 - Required Reserve Amount ); provided that at no time shall the number of shares of Common Stock reser
Page 8 - Distribution ), at any time after the issuance of this Warrant, then, in each such case, the Holder
Page 9 - Corporate Event ), the Company shall make appropriate provision to insure that the Holder will there
Page 10 - Corporate Event Consideration ) which the Holder would have been entitled to receive upon the happen
Page 11 - N/A
Page 12 - N/A
Page 13 - THE COMPANY HEREBY IRREVOCABLY WAIVES ANY RIGHT IT MAY HAVE, AND AGREES NOT TO REQUEST, A JURY TRIAL
Page 14 - Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls
Page 15 - Attribution Parties means, collectively, the following Persons and entities: (i) any investment vehi
Page 16 - Bloomberg means Bloomberg Financial Markets.
Page 17 - Fundamental Transaction means (A) that the Company shall, directly or indirectly, including through
Page 18 - Group means a group as that term is used in Section 13(d) of the 1934 Act and as defined in Rule 13d
Page 19 - [Signature Page Follows]
Page 20 - IN WITNESS WHEREOF, the Company has caused this Pre-Funded Warrant to Purchase Common Stock to be du
Page 21 - EXHIBIT A
Page 22 - ACKNOWLEDGMENT
Subdocument 4 - EX-4.2 - EX-4.2
Page 1 - Exhibit 4.2
Page 2 - Transfer Agent ). So long as the Holder delivers the Aggregate Exercise Price (or notice of a Cashle
Page 3 - Exercise Price means $3.21 per share, subject to adjustment as provided herein.
Page 4 - FAST ). In the event that the Company changes transfer agents while this Warrant is outstanding, the
Page 5 - Maximum Percentage ) of the number of shares of Common Stock outstanding immediately after giving ef
Page 6 - Reduction Shares ) and (ii) as soon as reasonably practicable, the Company shall return to the Holde
Page 7 - Authorized Share Allocation ). In the event that a holder shall sell or otherwise transfer any of su
Page 8 - Distribution ), at any time after the issuance of this Warrant, then, in each such case, the Holder
Page 9 - Corporate Event ), the Company shall make appropriate provision to insure that the Holder will there
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - THE COMPANY HEREBY IRREVOCABLY WAIVES ANY RIGHT IT MAY HAVE, AND AGREES NOT TO REQUEST, A JURY TRIAL
Page 14 - N/A
Page 15 - Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls
Page 16 - Business Day means any day other than Saturday, Sunday or other day on which commercial banks in The
Page 17 - Eligible Market means The Nasdaq Capital Market, the NYSE American LLC, The Nasdaq Global Select Mar
Page 18 - Group means a group as that term is used in Section 13(d) of the 1934 Act and as defined in Rule 13d
Page 19 - Transaction Documents means any agreement entered into by and between the Company and the Holder, as
Page 20 - IN WITNESS WHEREOF, the Company has caused this Warrant to Purchase Common Stock to be duly executed
Page 21 - EXHIBIT A
Page 22 - ACKNOWLEDGMENT
Subdocument 5 - EX-5.1 - EX-5.1
Page 1 - Exhibit 5.1
Page 2 - N/A
Subdocument 6 - EX-10.1 - EX-10.1
Page 1 - Exhibit 10.1
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - ARTICLE II.
Page 6 - N/A
Page 7 - N/A
Page 8 - ARTICLE III.
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Page 21 - ARTICLE IV.
Page 22 - N/A
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Page 25 - N/A
Page 26 - ARTICLE V.
Page 27 - N/A
Page 28 - N/A
Page 29 - N/A
Page 30 - WAIVER OF JURY TRIAL. IN ANY ACTION, SUIT, OR PROCEEDING IN ANY JURISDICTION BROUGHT BY ANY PARTY AG
Page 31 - N/A
Page 32 - N/A
Page 33 - Exhibit A
Page 34 - Exhibit B
Subdocument 7 - EX-99.1 - EX-99.1
Page 1 - Exhibit 99.1
Page 2 - Forward-Looking Statement
Page 3 - Exhibit A
Page 4 - N/A