SEC Contract Filing

Filing Date: 2019-05-13

Document Content:
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<TYPE>EX-10.2
<SEQUENCE>4
<FILENAME>a19-9765_3ex10d2.htm
<DESCRIPTION>EX-10.2
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<p align="right" style="margin:0in 0in .0001pt;text-align:right;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">Exhibit 10.2<a name="Exhibit10_2_081643"></a></font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">[FORM&nbsp;OF SERIES C WARRANT]</font></b></p>
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<p style="margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">THE NUMBER OF SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY&nbsp;BE LESS THAN THE AMOUNTS SET FORTH ON THE FACE HEREOF PURSUANT TO SECTION&nbsp;1(a)&nbsp;OF THIS SERIES C WARRANT.</font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">TROVAGENE,&nbsp;INC.</font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">SERIES C WARRANT TO PURCHASE COMMON STOCK</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Series&nbsp;C Warrant No.:</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Date of Issuance: [&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;], 2019 (&#147;<b>Issuance Date</b>&#148;)</font></p>
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<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Trovagene,&nbsp;Inc., a Delaware corporation (the &#147;<b>Company</b>&#148;), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Lincoln Park Capital Fund, LLC, the registered holder hereof or its permitted assigns (the &#147;<b>Holder</b>&#148;), is entitled, subject to the terms set forth below, to purchase from the Company, at the Exercise Price (as defined below) then in effect, upon exercise of this Series&nbsp;C Warrant to Purchase Common Stock (including any warrants to Purchase Common Stock issued in exchange, transfer or replacement hereof, the &#147;<b>Series&nbsp;C Warrant</b>&#148;), at any time or times on or after the Issuance Date, but not after 11:59 p.m., New York time, on the Expiration Date (as defined below), [230,639](1)&nbsp;(subject to adjustment as provided herein) fully paid and non-assessable shares of Common Stock (as defined below) (the &#147;<b>Series&nbsp;C Warrant Shares</b>&#148;).&#160; Except as otherwise defined herein, capitalized terms in this Series&nbsp;C Warrant shall have the meanings set forth in Section&nbsp;17.&#160; This Series&nbsp;C Warrant is the Series&nbsp;C Warrant to Purchase Common Stock issued pursuant to (i)&nbsp;Section&nbsp;1 of that certain Securities Purchase Agreement, dated as of [&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;], 2019 (the &#147;<b>Subscription Date</b>&#148;), by and between the Company and Lincoln Park Capital Fund, LLC, as amended from time to time (the &#147;<b>Securities Purchase Agreement</b>&#148;) and (ii)&nbsp;the Company&#146;s Registration Statement on Form&nbsp;S-3 (File number 333- 211705) (the &#147;<b>Registration Statement</b>&#148;).</font></p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">1.</font><font size="1" style="font-size:3.0pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </font><u>EXERCISE OF WARRANT.</u></p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(a)</font><font size="1" style="font-size:3.0pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </font><u>Mechanics of Exercise</u>.&#160; Subject to the terms and conditions hereof (including, without limitation, the limitations set forth in Section&nbsp;1(f)), this Series&nbsp;C Warrant may be exercised by the Holder on any day on or after the Issuance Date (an &#147;<b>Exercise Date</b>&#148;), in whole or in part, by delivery (whether via facsimile or otherwise) of a written notice, in the form attached hereto as <b><u style="font-weight:bold;">Exhibit&nbsp;A</u></b> (the &#147;<b>Exercise