|
||||||||||||||||||||||||||
| SEC Info℠ | | | Home | | | Search | | | My Interests | | | Help | | | Sign In | | | Please Sign In | |||||||
|
||||||||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/14/19 Summit Wireless Techs, Inc. 10-Q 9/30/19 66:7.4M Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 490K
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 77K
3: EX-4.2 Instrument Defining the Rights of Security Holders HTML 58K
4: EX-10.1 Material Contract HTML 70K
5: EX-10.2 Material Contract HTML 82K
6: EX-10.3 Material Contract HTML 61K
7: EX-10.4 Material Contract HTML 30K
8: EX-10.5 Material Contract HTML 29K
9: EX-31.1 Certification -- §302 - SOA'02 HTML 24K
10: EX-31.2 Certification -- §302 - SOA'02 HTML 24K
11: EX-32.1 Certification -- §906 - SOA'02 HTML 20K
12: EX-32.2 Certification -- §906 - SOA'02 HTML 21K
53: R1 Document and Entity Information HTML 52K
24: R2 Condensed Consolidated Balance Sheets HTML 94K
42: R3 Condensed Consolidated Balance Sheets HTML 48K
(Parenthetical)
58: R4 Condensed Consolidated Statements of Operations HTML 73K
54: R5 Condensed Consolidated Statements of Comprehensive HTML 33K
Loss
25: R6 Condensed Consolidated Statements of Preferred HTML 143K
Stock and Stockholders' Equity (Deficit)
43: R7 Condensed Consolidated Statements of Cash Flows HTML 149K
59: R8 Business and Viability of Operations HTML 35K
52: R9 Summary of Significant Accounting Policies HTML 50K
46: R10 Balance Sheet Components HTML 102K
63: R11 Promissory Notes HTML 41K
36: R12 Convertible Notes Payable HTML 58K
30: R13 Fair Value Measurements HTML 175K
45: R14 Preferred Stock and Stockholders' Equity HTML 134K
62: R15 Income Taxes HTML 26K
35: R16 Commitments and Contingencies HTML 26K
29: R17 Related Parties HTML 55K
44: R18 Segment Information HTML 55K
64: R19 Subsequent Events HTML 36K
40: R20 Summary of Significant Accounting Policies HTML 85K
(Policies)
23: R21 Balance Sheet Components (Tables) HTML 108K
56: R22 Fair Value Measurements (Tables) HTML 173K
61: R23 Preferred Stock and Stockholders' Equity (Tables) HTML 91K
39: R24 Segment Information (Tables) HTML 55K
22: R25 Business and Viability of Operations (Details) HTML 108K
55: R26 Summary of Significant Accounting Policies HTML 45K
(Details)
60: R27 Balance Sheet Components - Inventories (Details) HTML 28K
41: R28 Balance Sheet Components - Property and equipment HTML 38K
(Details)
21: R29 Balance Sheet Components - Accrued liabilities HTML 39K
(Details)
26: R30 Balance Sheet Components - Additional Information HTML 23K
(Details)
33: R31 Promissory Notes (Details) HTML 134K
65: R32 Convertible Notes Payable (Details) HTML 283K
48: R33 Fair Value Measurements (Details) HTML 32K
27: R34 Fair Value Measurements - Summary of changes in HTML 30K
fair value of the Company's warrant liability
measured at fair value using significant
unobservable inputs (Level 3) (Details)
34: R35 Fair Value Measurements - Summary of the weighted HTML 36K
average significant unobservable inputs (Level 3
inputs) used in measuring the Company's warrant
liability that is categorized within Level 3 of
the fair value hierarchy (Details)
66: R36 Fair Value Measurements - Summary of changes in HTML 30K
fair value of the Company's derivative liability
measured at fair value using significant
unobservable inputs (Level 3) (Details)
49: R37 Fair Value Measurements - Additional Information HTML 26K
(Details)
28: R38 Preferred Stock and Stockholders' Equity - HTML 36K
(Details)
32: R39 Preferred Stock and Stockholders' Equity - HTML 58K
Warrants for common stock outstanding and
exercisable (Details)
19: R40 Preferred Stock and Stockholders' Equity - HTML 742K
Additional Information (Details)
37: R41 Income Taxes (Details) HTML 26K
57: R42 Commitments and Contingencies (Details) HTML 32K
50: R43 Related Parties (Details) HTML 370K
20: R44 Segment Information (Details) HTML 27K
38: R45 Subsequent Events (Details Textual) HTML 94K
51: XML IDEA XML File -- Filing Summary XML 105K
47: EXCEL IDEA Workbook of Financial Reports XLSX 94K
13: EX-101.INS XBRL Instance -- wisa-20190930 XML 2.58M
15: EX-101.CAL XBRL Calculations -- wisa-20190930_cal XML 116K
16: EX-101.DEF XBRL Definitions -- wisa-20190930_def XML 648K
17: EX-101.LAB XBRL Labels -- wisa-20190930_lab XML 1.10M
18: EX-101.PRE XBRL Presentations -- wisa-20190930_pre XML 969K
14: EX-101.SCH XBRL Schema -- wisa-20190930 XSD 178K
31: ZIP XBRL Zipped Folder -- 0001104659-19-063693-xbrl Zip 172K
Exhibit 10.4
[SUMMIT LETTERHEAD]
[ ], 2019
Via Electronic Email
[Holder’s email address]
Ladies and Gentlemen:
Reference is made to (i) that certain the Warrant Amendment and Exercise Agreement, dated as of [ ], 2019, the date on which the Holder’s (as defined below) Exercise (as defined below) was received (the “Warrant Amendment Agreement”), by and between Summit Wireless Technologies, Inc., a Delaware corporation (the “Company”), and the holder named on the signature page attached hereto (the “Holder”); (ii) a repriced common stock purchase warrant held by the Holder to purchase an aggregate of [ ] shares (the “Repriced Warrant”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”) as well as the previously exercised common stock purchase warrant for [_____] shares (the “Original Warrant”); and (iii) the registered direct offering by the Company on October 16, 2019 of up to 2,5000,000 shares of Common Stock (the “Offering”).
The undersigned parties hereby agree and acknowledge, in full and complete satisfaction of all claims that the Holder made or could have made against the Company arising in connection with the Original Warrant, the Repriced Warrant, and the Warrant Amendment Agreement (collectively, the “Transaction Documents”), the following:
1. In consideration for the Holder’s release of such claims against the Company pursuant to the Transaction Documents, the Company shall, subject to approval by the Company’s board of directors, issue to the Holder [ ] shares of Common Stock, the aggregate value of which represents the difference between the value of the payment that was made by the Holder to the Company upon exercise of the Original Warrant (the “Exercise”) at its exercise price of $0.80 and the payment that would have been made by the Holder to the Company upon exercise of the Original Warrant at $0.70 per share, using the price of the shares of Common Stock offered to investors in the Offering.
2. Exhibit A attached hereto correctly states all shares of Common Stock and other securities of the Company held by the Holder as of the date of this letter.
C:
C: 1
In addition, the undersigned parties hereby agree that Section 2.1(c) of the Warrant Amendment Agreement, which requires the Company to file a registration statement on Form S-3 to register all shares of Common Stock received by the Holder upon exercise of any “Warrant” (as defined in the Warrant Amendment Agreement) and all shares of Common Stock issuable upon exercise of any Original Warrant (as defined in the Warrant Amendment Agreement) by November 4, 2019, is hereby amended to replace “November 4, 2019” with “November 18, 2019”. Except as otherwise expressly provided herein, the Warrant Amendment Agreement is, and shall continue to be, in full force and effect and is hereby ratified and confirmed in all respects. To the extent there is any inconsistency between the provisions of the Warrant Amendment Agreement and this letter, the provisions of this letter shall control and be binding.
For the avoidance of doubt nothing contained in this letter constitutes an amendment, modification or waiver of any of the provisions of any of the Transaction Documents, which remain in full force and effect.
This letter shall be governed by the laws of the state of New York, without giving effect to the principles of conflicts of law thereof or of any other jurisdiction. This letter may not be amended except in a writing signed by each of the parties hereto. The undersigned parties acknowledge that this letter has been negotiated, executed, and delivered in the State of New York and is to be wholly performed within New York, and each of the undersigned party’s actions in connection with the negotiation, execution, and delivery of this letter constitutes transacting business in New York.
Kindly confirm your agreement with the above by signing in the space indicated below and by PDFing a partially executed copy of this letter to the undersigned, and which may be executed in identical counterparts, each of which shall be deemed an original but all of which shall constitute one and the same agreement. In the event that any signature is delivered by electronic mail or similar transmission, such signature shall create a valid and binding obligation of the party executing (or on whose behalf such signature is executed) with the same force and effect as if such facsimile signature page were an original thereof.
[Signature page follows]
C:
2
| Very truly yours, | ||||
| SUMMIT WIRELESS TecHNOLOGIES, Inc. | ||||
| By: | ||||
| Name: George Oliva | ||||
| Title: Chief Financial Officer | ||||
| Agreed and Accepted: | ||||
| Holder: | ||||
| [HOLDER] | ||||
| By: | ||||
| Name: | ||||
| Title: | ||||
C:
3
Exhibit A
| Holder’s name | Shares of Common Stock owned as of October 31, 2019* | Warrant Shares Unexercised as of October 31, 2019 | Shares of Common Stock to be issued to Holder pursuant to Section 1(b) of this letter | |||
| [____] | [____] | [____] | [____] |
* Includes [____] warrant shares exercised on [____]
C:
4
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 11/18/19 | 8-K | |||
| Filed on: | 11/14/19 | 8-K, SC 13G/A | ||
| 11/4/19 | ||||
| 10/31/19 | ||||
| 10/16/19 | 4, 424B5, 8-K | |||
| For Period end: | 9/30/19 | |||
| List all Filings | ||||