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SEC Filings

S-1
PROTEON THERAPEUTICS INC filed this Form S-1 on 09/16/2014
Entire Document
 

 

TABLE OF CONTENTS

(continued)

 

 

 

Page

 

 

 

 

3.27.

Studies

35

 

 

 

 

4.

REPRESENTATIONS AND WARRANTIES OF THE PURCHASERS

35

 

 

 

 

4.1.

Authorization

35

 

4.2.

Purchase Entirely for Own Account

35

 

4.3.

Disclosure of Information

36

 

4.4.

Restricted Securities

36

 

4.5.

No Public Market

36

 

4.6.

Legends

36

 

4.7.

Accredited Investor

36

 

4.8.

Foreign Investors

37

 

4.9.

No General Solicitation

37

 

4.10.

Exculpation Among Purchasers

37

 

4.11.

Residence

37

 

 

 

 

5.

CLOSING CONDITIONS

37

 

 

 

 

5.1.

Conditions to the Purchasers’ Obligations at Initial Tranche Closing

37

 

5.2.

Conditions to the Purchasers’ Obligations at Second Tranche Closing

39

 

5.3.

Conditions to the Purchasers’ Obligations at Third Tranche Closing

40

 

5.4.

Conditions to the Company’s Obligations at Initial Tranche Closing

41

 

5.5.

Conditions to the Company’s Obligations at Second Tranche Closing

41

 

5.6.

Conditions to the Company’s Obligations at Third Tranche Closing

42

 

 

 

 

6.

MISCELLANEOUS

42

 

 

 

 

6.1.

Survival of Warranties

42

 

6.2.

Successors and Assigns

42

 

6.3.

Governing Law

42

 

6.4.

Counterparts; Facsimile

43

 

6.5.

Titles and Subtitles

43

 

6.6.

Notices

43

 

6.7.

No Finder’s Fees

43

 

6.8.

Fees and Expenses

44

 

6.9.

Amendments and Waivers

44

 

6.10.

Severability

44

 

6.11.

Delays or Omissions

44

 

6.12.

Entire Agreement

44

 

6.13.

Dispute Resolution

45

 

6.14.

No Commitment for Additional Financing

45

 

6.15.

Covenant Relating to Registration

45

 

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