Common use of Purchasers Clause in Contracts

Purchasers. NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor Stamxxxx, XX 00000 Xxx Xxxx, Xxx Xxxx 00000 Xxxxxxxxx: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]

Appears in 1 contract

Samples: Investor Rights Agreement (Macrochem Corp)

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Purchasers. NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners Number of Purchaser Shares to be Purchased Purchase Price -------------------------------------------------------------------------------- Andesite Management, L.P. 50,000 $937,500.00 -------------------------------------------------------------------------------- Colonial Fund LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor Stamxxxx150,000 $937,500.00 -------------------------------------------------------------------------------- Domain Public Equity Partners, XX 00000 Xxx XxxxL.P. 100,000 $625,000.00 -------------------------------------------------------------------------------- Fortis L Fund Equity Pharma World 93,750 $585,937.50 -------------------------------------------------------------------------------- Fortis L Fund Opportunity World 31,250 $195,312.50 -------------------------------------------------------------------------------- Heartland Group, Xxx Xxxx 00000 Xxxxxxxxx: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Inc. 300,000 $1,875,000.00 -------------------------------------------------------------------------------- ProMed Offshore Fund, Ltd. 7284 W. Palmetta Park Road11,490 $71,812.50 -------------------------------------------------------------------------------- ProMed Partners, Suite 306 Boca RatonL.P. 71,260 $445,375.00 -------------------------------------------------------------------------------- ProMed Partners II, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue L.P. 17,250 $107,812.50 -------------------------------------------------------------------------------- Sagitta Asset Management Ltd. 50,000 $312,500.00 -------------------------------------------------------------------------------- SF Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPCPartners, Ltd. c/o SDS Management50,000 $312,500.00 -------------------------------------------------------------------------------- Special Situations Cayman Fund L.P. 480,000 $3,000,000.00 -------------------------------------------------------------------------------- Special Situations Fund III, LLC 53 Old Forest AvenueL.P. 144,000 $900,000.00 -------------------------------------------------------------------------------- Special Situations Private Equity Fund, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW L.P. 176,000 $1,100,000.00 -------------------------------------------------------------------------------- Ursus Capital, LLC 48 Route 25AL.P. 30,200 $188,750.00 -------------------------------------------------------------------------------- Ursus Offshore, Suite 305 SmithtownLtd. 19,800 $123,750.00 -------------------------------------------------------------------------------- Zeke, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [LP 225,000 $1,406,250.00 -------------------------------------------------------------------------------- Exhibit B --------- June ___, 2004 Purchasers of Common Stock of STAAR Surgical Company Listed on Exhibit A to the Stock Purchase Agreement Re: Stock Purchase Agreement dated as of June _______], any other exchange or market upon which our shares may trade in 2004 among STAAR Surgical Company and the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the followingPurchasers Listed on Exhibit A thereto --------------------------------------------------------------------- Ladies and Gentlemen: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer acted as special counsel for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem CorporationSTAAR Surgical Company, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred the sale by the Company to you of 1,700,000 shares of the Company's Common Stock and Warrant (the "Shares") pursuant to the Stock Purchase Agreement (the "Purchase Agreement") dated as of ________________June __, 2006 by and 2004 among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, persons listed on Exhibit A attached thereto (the "Preferred StockPurchasers"). Unless defined herein, capitalized terms have the meanings given them in the Purchase Agreement. The Purchase Agreement and the Registration Rights Agreement, as defined therein, are referred to herein as the "Agreements." As to matters of fact, in the absence of actual knowledge to the contrary, we are relying upon the representations and warranties of all parties contained in the Agreements and the Certificate of the Company and Certificate of the Chief Financial Officer attached hereto ("Opinion Certificates") convertible and upon certificates and statements of government officials, all without independent verification. In addition, we examined originals or copies of documents, corporate records and other writings that we consider relevant for the purposes of this opinion. In such examination, we assumed that the signatures on documents and instruments examined by us are authentic, that each is complete and what it purports to be, that all documents and instruments submitted to us as copies or facsimiles conform with the originals, and that the documents and instruments submitted to us have not been amended or modified since the date submitted. In our examination of documents, we further assumed (i) that each person or entity entering into shares such documents (other than the Company in connection with the Agreements) had the power, legal competence and capacity to enter into and perform all of such party's obligations thereunder, (ii) the due authorization, execution and delivery by each party (other than the due authorization, execution and delivery of the Agreements by the Company's common stock), par value $0.01 per share (iii) the enforceability and binding nature of the obligations of the parties to such documents (other than as to the enforceability against, and the binding nature upon, the Company of the Agreements), (iv) that there is no fact or circumstance relating to any party that might prevent the Purchasers from enforcing any of the rights provided for in the Agreements, (v) performance on or before the Closing by all parties of their obligations under the Agreements to be performed on or before the Closing and (vi) no action has been taken or event occurred which amends, revokes, terminates or renders invalid any of the documents, records, consents or resolutions which we have reviewed since the date of the certificates we relied upon in rendering this opinion. We also assumed that there are no extrinsic agreements or understandings among the parties to the Agreements or Contractual Obligations (as defined below) that would modify or interpret the terms of the Agreements or contracts expressly identified on Schedule A hereto or the respective rights or obligations of the parties thereunder. As used in this opinion, the expression "Common Stockto our knowledge" or "known to us" with reference to matters of fact refers to the current actual knowledge of any attorney within the firm who has participated in the transactions covered by this opinion. Except to the extent expressly set forth herein we have not undertaken any independent investigation to determine the accuracy or completeness of such statement (including without limitation any examination of any documents in our files or otherwise made available to us by the Company), and warrants no inference as to purchase shares the accuracy or completeness of such statement should be drawn from our representation of the Common Stock (Company or our rendering the "Warrants")opinions set forth below. Pursuant Based upon and subject to the Purchase Agreementforegoing and the qualifications and limitations set forth below, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, except as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined set forth in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoingAgreements, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, Byit is our opinion that:__________________________________ cc: [LIST NAMES OF HOLDERS]

Appears in 1 contract

Samples: Stock Purchase Agreement (Staar Surgical Company)

Purchasers. NAME AND ADDRESSXXXXXX XXXXXXXXX CAPITAL PARTNERS, INC., a California corporation On behalf of XXXXXX XXXXXXXXX CAPITAL PARTNERS III, L.P., a California limited partnership By: COPY OF NOTICE TO---------------------------------- Xxxxxx Xxxxxxx Vice President (Signature Page to Investor Rights Agreement) ORE HILL HUB FUND LTD By: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Ore Hill Partners LLC Wiggin and Dana LLP 1285 Avenue Its: Investment Advisor By: ---------------------------------- Xxxxxxxxx Xxxx Managing Member (Signature Page to Investor Rights Agreement) AIRLIE OPPORTUNITY MASTER FUND, LTD. By: ---------------------------------- Xxxxxx Xxxxxxx Managing Director (Signature Page to Investor Rights Agreement) QVT FUND LP, by its general partner, QVT ASSOCIATES GP LLC By: ---------------------------------- Xxxxx XxXxxx Authorized Signatory By: ---------------------------------- Xxxxx Xx Managing Member (Signature Page to Investor Rights Agreement) COMPANY: ------- FALCON PRODUCTS, INC. By: ----------------------------------- Chairman of the Americas 400 Xxxxxxic Stxxxx 35th Floor StamxxxxBoard and Chief Executive Officer (Signature Page to Investor Rights Agreement) XXXXXX STOCKHOLDERS: ------------------- --------------------------- XXXXXXXX X. XXXXXX --------------------------- XXXXXXX XXXX XXXXXX ---------------------------------------- XXXXXXXX X. XXXXXX, XX 00000 Xxx XxxxTRUSTEE OF THE XXXXX XXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 09/09/1986 ------------------------------------- XXXXXXXX X. XXXXXX, Xxx TRUSTEE OF THE XXXXXXX XXXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 12/02/1988 --------------------------- XXXXXXX XXXXXX XXXXXX (Signature Page to Investor Rights Agreement) EXHIBIT A ------- - Table of Owned Shares --------------------- -------------------------------------------------------------------------------------------------- XXXXXX STOCKHOLDER NUMBER OF SHARES OF COMMON STOCK -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx 1,887,384 shares options for 120,000 shares -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxx 00000 Xxxxxxxxx: (000) 000-0030 Xxxx: Xxxxxx 3,500 shares -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx XxxxxxxXxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue Trustee of the AmericasXxxxx 55,006 shares Xxxxx Xxxxxx Revocable Trust u/t/a dated 09/09/1986 -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue Trustee of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. cXxxxxxx 12,317 shares Xxxxxx Xxxxxx Revocable Trust u/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the t/a dated 12/02/1988 -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxxxx Xxxxxx 117,833 shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. -------------------------------------------------------------------------------------------------- EXHIBIT B ------- - FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (------- SPOUSAL CONSENT --------------- The undersigned is the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as spouse of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares one of the Company's common stockindividuals who has executed, par value $0.01 per share (delivered and agreed to be bound by the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "above Investor Rights Agreement") pursuant to which . The undersigned hereby acknowledges that he or she has read and understands the Company agreed, among terms and other things, to register the shares provisions of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each . Further, the undersigned hereby consents to, approves of and agrees to be bound by the terms and other provisions of the Holders Investor Rights Agreement for all purposes as if he or she were a selling securityholder thereunder. In connection with party thereto, including, without limitation, in order to bind any community property interest she has or may have in any Co-Sale Shares owned by him or her and his or her spouse that is the foregoing, we advise you that a member subject of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at Investor Rights Agreement. --------------------------------------- [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERSName]

Appears in 1 contract

Samples: Investor Rights Agreement (Falcon Products Inc /De/)

Purchasers. NAME AND ADDRESS: COPY OF NOTICE TOName and Address Copy of Notice to: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners -------------------------------------------------------------------------------------------------------- XXXXX XXXX XX XXXXXX XXXXX XXXX XX XXXXXX c/o RBC Dominion Securities Corporation c/o RBC Dominion Securities Corporation Xxx Xxxxxxx Xxxxx Xxx Xxxxxxx Xxxxx 000 Xxxxxxxx, 0xx Xxxxx 000 Xxxxxxxx, 0xx Xxxxx Xxx Xxxx, XX 00000-0000 Xxx Xxxx, XX 00000-0000 Fax: 000-000-0000 Fax: 000-000-0000 Attn: Xxxxx Xxx Attn: Xxx Xxxxxxxx -------------------------------------------------------------------------------------------------------- THE TAIL WIND FUND LTD. c/o Tail Wind Advisory & Management Ltd. Xxxxx X. Xxxxxxx, P.C. Attn: Xxxxx Xxxxx 000 Xxxxxxx Xxxxxx, Xxxxx 0000 1st Floor, No. 0 Xxxxxx Xxxxxx Xxx Xxxx, XX 00000 Xxxxxx, XX0X 0XX XX Telephone: 000-000-0000 Fax: 00-000-000-0000 Facsimile: 000-000-0000 -------------------------------------------------------------------------------------------------------- SOLOMON STRATEGIC HOLDINGS, INC. c/o Xxxxxx X. XxxXxxxxx (Director) Xxxxx X. Xxxxxxx, P.C. Greenlands, The Red Gap 000 Xxxxxxx Xxxxxx, Xxxxx 0000 Xxxxxxxxxx XX0 0XX Xxx Xxxx, XX 00000 British Isles Telephone: 000-000-0000 Fax: 000 (00) 0000 000000 Facsimile: 000-000-0000 -------------------------------------------------------------------------------------------------------- MIDSUMMER INVESTMENT, LTD. Xxx Xxxxxxx, Esq. c/o Midsummer Capital, LLC Wiggin and Dana Xxxxxxx Xxxxxxxxx LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th 000 Xxxxxxx Xxxxxx, 00xx Floor Stamxxxx000 Xxxxxxxxx Xxxxxx, Xxx 0000 Xxx Xxxx, XX 00000 Xxx Xxxx, Xxx Xxxx XX 00000 XxxxxxxxxTel: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T0000 Tel: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis TXxxxx Xxxxxxx Fax: (000) 000-0000 X-------------------------------------------------------------------------------------------------------- OMICRON MASTER TRUST Xxxxx Xxxxx, Esq. c/o Omicron Capital L.P. Law Offices of Xxxxx Xxxxx 000 Xxxxxxx Xxxxxx, 00xx Floor 00 Xxxx 00xx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Xxx Xxxx, XX 00000 Fax: 000-000-0000 Tel: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 XxxxxxxAttn: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 TelephonxXxxx Fax: (000) 000-0000 Xxx-------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------- Name and Address Copy of Notice to: ---------------- ----------------- -------------------------------------------------------------------------------------------------------- PROVIDENT MASTER FUND, LTD. Xxxxx X. Xxxxxxx, P.C. 000 Xxxxx Xxxx Xxxx, #000 000 Xxxxxxx Xxxxxx, Xxxxx 0000 Xxxxxxx, XX 00000 Xxx Xxxx, XX 00000 Attn: Xxxxxxx Xxxxxxxxxxxxx Telephone: 000-000-0000 Fax: (000) 000-0000 xxxxxxxFacsimile: 000-000-0000 -------------------------------------------------------------------------------------------------------- CHULA PARTNERS, LP 000 Xxxxx Xxxxxx Xxxxxx, Xxxxx 000 Xxxxxxxxx, XX 00000 Attn: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 XxxXxxxxx Fax: (000) 000-0000 -------------------------------------------------------------------------------------------------------- DYNAMIC EQUITY HEDGE FUND Scotia Plaza, 55th Floor 00 Xxxx Xxxxxx Xxxx Xxxxxxx, Xxxxxxx X0X 0X0 Attn: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 XxxXxxxxxx Fax: (000) 000-0000 Xxxxxxx-------------------------------------------------------------------------------------------------------- XXXXXX X. XXXXX TTEE FBO THE XXXXXX X. XXXXX REVOCABLE LIVING TRUST 0000 Xxxx Xxxxx Xxxxxx, # 0000 Xxxxxxxxx, XX 00000 Attn: Xxxx Xxxxx or Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 XxxXxxxxxx Fax: (000) 000-0000 Xxxxxxx-------------------------------------------------------------------------------------------------------- VIKING GLOBAL EQUITIES LP 000 Xxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxxxx -------------------------------------------------------------------------------------------------------- VGE III PORTFOLIO LTD. 000 Xxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxxxx -------------------------------------------------------------------------------------------------------- ISLANDIA, L.P. c/o Xxxx ----------------------------------- ------------------------------------- Iroquois Master Xxxx, Inc. 000 Xxxxxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 XxxManager Fax: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]--------------------------------------------------------------------------------------------------------

Appears in 1 contract

Samples: Investor Rights Agreement (Nexmed Inc)

Purchasers. NAME AND ADDRESSBy: COPY OF NOTICE TO/s/ Xxxxx Xxxxxxxxx ----------------------------- Name: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin Xxxxx Xxxxxxxxx Title: MOTOROLA, INC. By: /s/ Xxxx X. Xxxxxx ----------------------------- Name: Xxxx X. Xxxxxx Title: Senior Vice President and Dana LLP 1285 Avenue General Manager, Multimedia Group BAY NETWORKS, INC. By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx Title: Chief Financial Officer EXHIBIT A --------- PURCHASERS ---------- Name and Address of the Americas 400 Xxxxxxic Stxxxx 35th Floor StamxxxxPurchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price --------------------------- -------------- ROGERS CABLESYSTEMS LIMITED 75,000 $15,000,000.00 Xxxxx 0000, XX 00000 Xxx XxxxXxxxxx Plaza 00 Xxxx Xxxxxx X Xxxxxxx, Xxx Xxxx 00000 XxxxxxxxxXxxxxxx Xxxxxx X0X 0X0 Attn: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 TChief Executive Officer Fax: (000) 000-0000 XXXX CABLESYSTEMS LTD. 75,000 $15,000,000.00 Suite 000 000 Xxxxx Xxxxxx XX Xxxxxxx, Xxxxxxx Xxxxxx X0X 0X0 Attn: Micxxxx XxxxxxxMr. Xxx Xxxx Jr. and Xxxxxx X. Xxxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis TFax: (000) 000-0000 XSUN MICROSYSTEMS, INC. 25,000 $ 5,000,000.00 0000 Xxxxxx Xxxxxx, MS PALI-530 Mountain View, CA 94043 Attn: General Counsel Fax: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein TelephoneNETSCAPE COMMUNICATIONS CORPORATION 20,000 $ 4,000,000.00 000 X. Xxxxxxxxxxx Xxxx Xxxxxxxx Xxxx, XX 00000 Attn: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Mr. Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 TelephonxXxxxxx Chief Financial Officer and Mr. J. Xxxxxx Xxxxx Fax: (000) 000-0000 Xxxand to Attn: Xxxxxxx X. Xxxx, Esq. Fax: (000) 000-0000 xxxxxxxand to Attn: Xxxxx X. Xxxxxxx, Esq. and Xxx Xxxxxxxxxxx, Esq. Wilson, Sonsini, Xxxxxxxx and Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 XxxFax: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth AvenueName and Address of Purchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price --------------------------- -------------- XXXXX XXXXXXXXX 5,000 $ 1,000,000.00 c/o Netscape Communications Corporation 000 X. Xxxxxxxxxxx Xxxx Xxxxxxxx Xxxx, #28D New York, NY 10016 Telephone: (212) 481-1390 XxxXX 00000 Fax: (000) 000-0000 XxxxxxxMOTOROLA, INC. 25,000 $ 5,000,000.00 Multimedia Group 0000 Xxxx Xxxxxxxxx Xxxx Xxxxxxxxxx, XX 00000-0000 Attn: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 XxxGeneral Counsel Fax: (000) 000-0000 Xxxxxxxand to Attn: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 XxxXx. Xxxxxxx X. Robertson Director of Business Development and Marketing Fax: (000) 000-0000 XxxxxxxBAY NETWORKS, INC. 15,000 $ 3,000,000.00 ------ -------------- 0000 Xxxxx Xxxxxxx Xxxxxxx Xxxxx Xxxxx, XX 00000 Attn: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 TelephonxXx. Xxxxx Xxxxx Fax: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- TOTAL 240,000 $48,000,000.00 EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade D --------- INFORMATION CONCERNING PURCHASERS Jurisdiction in which the broker-dealer so engaged Purchaser Jurisdiction of Location of Purchaser's will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of accept the Company's common stockOffer to Purchaser Organization Principal Office Sell the Purchased Shares --------- ------------ ----------------------- ---------------------------------- Rogers Cablesystems Xxxxxxx Xxxxxxx, par value $0.01 per share (the "Common Stock")Xxxxxx Xxxxxxx, and warrants to purchase shares Xxxxxx Limited Xxxx Cablesystems Ltd. Federal law of the Common Stock (the "Warrants"). Pursuant to the Purchase AgreementAlberta, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreedCanada Alberta, among other thingsCanada Canada Sun Microsystems, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the WarrantsInc. Delaware California California Netscape Communications Delaware California California Corporation Xxxxx Xxxxxxxxx California N/A California Resident Motorola, under the Securities Act of 1933Inc. Delaware Illinois Illinois Bay Networks, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]Inc. Delaware California California

Appears in 1 contract

Samples: Stock Purchase Agreement (At Home Corp)

Purchasers. SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND ADDRESS: COPY OF NOTICE TO: ADDRESS FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor StamxxxxSociete Generale 4,000 Preferred Shares $4,000,000 c/o SG Cxxxx Xxxurities Corporation 221,402 Warrants 1221 Xxxxxx xx xxx Xxxxxxxx Xxx Xxxx, XX 00000 Xxxn: Guilxxxxx Xxxxxx Xxxsimile No.: (212) 000-0000 Xxxephone No.: (212) 000-0000 xxth a copy to: Jonex, Xxy, Reavxx & Xogux 000 Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 XxxxxxxxxXxxn: J. Eric Xxxx Xxxsimile No.: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000212) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. XXxxephone No.: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000212) 000-0000 X: (000) 000-0000 ------------------------------------------ ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. CATALPA ENTERPRISES LTD. 3,000 Preferred Shares $3,000,000 c/o SDS ManagementKennxxx X. Xxxxx 166,051 Warrants 155 Xxxxxxxx Xxxxx X.X.#0 Xxxxxxxxx, LLC 53 Old Forest AvenueXxxxxxx X0X 0X0 ------------------------------------------ ----------------------------------- ---------------- Jeffxxx X. Xxxxxx 500 Preferred Shares $500,000 51 Monte Vista 27,675 Warrants Athexxxx, 2nd Floor Old GreenwichXX 00000 ------------------------------------------ ----------------------------------- ---------------- ------------------------------------------ ----------------------------------- ---------------- SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND NOTICE ADDRESS FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- Robexx X. Xxxxxx 1,500 Preferred Shares $1,500,000 c/o Duxxxx xxx Associates 83,025 Warrants 1933 Xxxxx Xxxxx Xxxxx 00 Xxxxx Xxxxxxx, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director XX 00000 ------------------------------------------ ----------------------------------- ------------------------------------- TMW ---------------- Mahkxx Xxxxxxxx 24 Preferred Shares $24,000 25 Pxxxx xxx Xxxxxx 1,328 Warrants 67000 Xxxxxxxxxx Xxxxxx ------------------------------------------ ----------------------------------- ---------------- BayStar Capital, LP 700 Preferred Shares $700,000 c/o BayStar Management LLC 48 Route 25A38,745 Warrants 1500 Xxxx Xxxxxx Xxxxxx Xxxxxx, Suite 305 SmithtownXX 00000 Xxxn: Mr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ---------------- BayStar International, NY 11787 TelephoneLtd. 300 Preferred Shares $300,000 c/o BayStar International Management LLC 16,605 Warrants 1500 Xxxx Xxxxxx Xxxxxx Xxxxxx, XX 00000 Xxxn: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr Mr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN FORM OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the CERTIFICATE OF DESIGNATION [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. See Exhibit 4.1] EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT WARRANTS [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______See Exhibit 4.3]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]

Appears in 1 contract

Samples: Securities Purchase Agreement (Computer Motion Inc)

Purchasers. NAME AND ADDRESS: COPY OF NOTICE TO: Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor Stamxxxx------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, XX 00000 III, L.P. c/o Charterhouse Group International, Inc. 000 Xxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 XxxxxxxxxAttention: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: President ---------------------------------- ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ------------------ ------------------- --------------- ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o SDS ManagementMobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, LLC 53 Old Forest AvenueCalifornia 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, 2nd Floor Old Greenwich, CT 06870 TelephoneCalifornia 94043 Attention: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: General Counsel ---------------------------------- ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed Principal Amount Units to be "underwriters" within the meaning of Section 2(11) Convertible Number of the Securities Act Percentage of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] RePurchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value 10,000,000.00 $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------

Appears in 1 contract

Samples: Securities Purchase Agreement (Interliant Inc)

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Purchasers. NAME AND ADDRESSTOTAL TOTAL NUMBER OF PURCHASE WARRANTS --------- -------------------------------------------------------------- ---------------------- ---------------------- 1. Daryl W. Alsop & Amal M. Xxxxx $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 2. Gregory V. Peay $25,000.00 25,000 (Bradsby Group) --------- -------------------------------------------------------------- ---------------------- ---------------------- 3. Stanton R. Camp $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 4. Dawn A. Correll $20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 5. The Cox Family Trust, Edwarx X. Cox, Trustee $20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 6. Michael J. Duffy $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 7. Alex Groswird, Sr. $18,000.00 18,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 8. W. Hagerty $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 9. Robert G. Logan & Victoxxx X. Xxxxx $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 10. Todd R. Van de Putte $16,000.00 16,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 11. Joel S. & Elizabeth M. Xxxxxxxin XXXX Xxxxxxxxx Xxxxxx Trust $05,000.00 25,000 U/A DTD 10/02/90 --------- -------------------------------------------------------------- ---------------------- ---------------------- 12. Kid Gro-Co, LLC $15,000.00 15,000 Darrel Whitehead --------- -------------------------------------------------------------- ---------------------- ---------------------- 13. National Investor Services Corp. FBO: COPY OF NOTICE TO$16,000.00 16,000 Anthony M. Ottombrino Axxx.#000-00000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 14. National Investor Services Corp. FBO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin and Dana LLP 1285 Avenue $15,000.00 15,000 James W. Rury Acct.#499-00000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 15. Stanley A. Worthley $15,000.00 15,000 Charles Schwab & Co., Ixx. Xxxtxxxxx Acct.#7198-4413 --------- -------------------------------------------------------------- ---------------------- ---------------------- 16. Kevin Lively $30,000.00 30,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 17. Alex Groswird $35,862.02 35,862 --------- -------------------------------------------------------------- ---------------------- ---------------------- 18. Tim Robertson $20,075.56 20,075 --------- -------------------------------------------------------------- ---------------------- ---------------------- 19. Jeffrey H. Reeves $25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 20. Ralph C. Wintrode Trust XXX Xxx 0, 0000 $37,500.00 37,500 Ralph C. Wintrode, Trusxxx --------- -------------------------------------------------------------- ---------------------- ---------------------- 21. Craig H. Millet $25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 22. Sterling Trust Company, Custodian FBO: Ralph Charles 00,000.00 37,500 Wintrode #092369 --------- -------------------------------------------------------------- ---------------------- ---------------------- 23. Adler Family Trust DTD 0/0/0000 Marty Adler, Trustee, 15,000.00 15,000 Michele Adler, Trustee --------- -------------------------------------------------------------- ---------------------- ---------------------- 24. Loewen Family Trust, Roxxxx X. Loewen, Trustxx 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 25. The Cox Family Trust, Edwarx X. Cox, Trustee 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 26. Jacob Angrest 30,000.00 30,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 27. James T. Mattson, Jr. 40,000.00 40,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 28. James R. Flickinger Truxx XXX 00/0/0000 Xxmes R. Flickinger, 00,000.00 15,000 Trustee --------- -------------------------------------------------------------- ---------------------- --------------------- 29. Joseph A. Quilici 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 30. Richard J. Lane or Kathxxxxx X. Xxxx 36,000.00 36,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 31. David Hadley 7,500.00 7,500 --------- -------------------------------------------------------------- ---------------------- --------------------- 32. F. Patricia Cullen 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 33. Benjamin F. Greenwood 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 34. Martin Bentley 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 35. Nicholas Chacos II 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 36. Gunnar Gooding 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 37. Robert Swenson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 38. Vincent de Philippis 75,000.00 75,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 39. Dieter-Heinz Kijora 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 40. Heinz & Ilse Gietz 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 41. Daniel Andreson 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 42. Mark A. Rock 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 43. Aura R. Fechter 11,000.00 11,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 44. Lars Olson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 45. Michael Winslow 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 46. Minh Vu 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 47. Andrew Sazama 58,125.00 58,125 --------- -------------------------------------------------------------- ---------------------- --------------------- 48. Nick Dinneen 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 49. Ngoc-Loan Khoa Ngyen 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 50. Charles Kwon 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 51. Extenprise/ Arvind Pandey 70,619.00 70,619 --------- -------------------------------------------------------------- ---------------------- --------------------- 52. Paul Gustafson 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 53. Michael M. Moore 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 54. Joseph Moisant & Melissx Xxxxxxx 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 55. Regan J. Patrick 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 56. Robert G. Logan & Victoxxx X. Xxxxx 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 57. Robert G. Metzger II 7,500.00 7,500 --------- -------------------------------------------------------------- ---------------------- --------------------- 58. Sidney E. Levine 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 59. Glen S. Davis 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 60. Dennis R. Johnson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 61. Chris & Suzie Cole Livixx Xxust XXX 0/00/2000, Christopher 20,000.00 25,000 ----------------------------------------------------------- A. Cole Trustee --------- -------------------------------------------------------------- ---------------------- --------------------- 62. Quang H. Vu & Jacquelinx X. Xx 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 63. Craig F. Gross & Elizabxxx X. Xxxxx 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 64. David R. Moyer, Trustee Xxxxx X. Xxxxr, DDS, A Xxxxxxxxxxxx 25,000.00 25,000 Corp. Employees' Profit Sharing Plan & Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 65. Samuel H. Moyer, Trustex xx xxx Xxxxxxong Marketing, Inx. 25,000.00 25,000 Profit Sharing Plan & Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 66. Gary Moyer, Trustee of xxx Xxx-Xxust 1 of the Americas 400 Xxxxxxic Stxxxx 35th Floor Stamxxxx2003 Moyer 5,000.00 5,000 Family Trust DTD 02/19/2003 --------- -------------------------------------------------------------- ---------------------- --------------------- 67. Carole Bradford 26,000.00 26,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 68. Brigitte G. Byrd 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 69. John Reitz 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 70. Stephen H. and Barbara X. Xxxxxxxn Truxxxxx xx xxx Xxxxxxnn 100,000.00 100,000 Family 2004 Revocable Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 71. Ferdynand J. Zdyb 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 72. Richard D. Walker 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 73. Donald R. Craighead 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 74. Jeff Kone & Cezanne Konx XX XXXX 33,000.00 33,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 75. David R. Morgan 100,000.00 100,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 76. Paul H. Schaaf Trustee Xxxxxx Xxxxxx Trust DTD 00/00/73 AMD 15,000.00 15,000 06/25/2003 --------- -------------------------------------------------------------- ---------------------- --------------------- 77. Paul Colombe 20,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 78. Thomas E. Szulist 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 79. Kim R. Salzwedel 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 80. Paul Chacon 5,000.00 5,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 81. Wayne M. Hamersly 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 82. Gary Sportsman & Sally Xxxxtsman 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 83. Wall Street Capital Partners, XX 00000 Xxx XxxxLP (Jeff Kone) 150,000.00 150,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 84. Eric Anderson 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 85. Roaring Fork Capital SBIC, Xxx Xxxx 00000 Xxxxxxxxx: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, EsqL.P. 1,000,000.00 1,000,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 86. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the [__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. Harold Zagunis 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series UNSECURED CONVERTIBLE PROMISSORY NOTE EXHIBIT C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]WARRANT EXHIBIT D

Appears in 1 contract

Samples: Convertible Note Purchase Agreement (Cistera Networks, Inc.)

Purchasers. NAME AND ADDRESSAggregate Number of Name and Address of Purchaser Units to be Purchased Purchase Price Pro Rata Portion ---------------------------------- ------------------------- ------------------------ ----------------------- Charterhouse Equity Partners, 104.93442 $10,493,441.60 55.22864% III, L.P. c/o Charterhouse Group International, Inc., 000 Xxxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000, Attention: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Partners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor StamxxxxExecutive Vice President ---------------------------------- ------------------------- ------------------------ ----------------------- Chef Nominees Limited c/o 0.06558 $6,558.40 0.03452% Charterhouse Group International, XX 00000 Inc., 000 Xxxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000 XxxxxxxxxAttention: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. Executive Vice President ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures VI 39.49100 $3,949,100.00 20.78474% L.P. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Softbank Venture Capital, LLC 48 Route 25A000 Xxxx Xxxxxx Xxxxxx, Suite 305 Smithtown200, NY 11787 TelephoneMountain View, California 94043, Attention: (631) 862-3000 XxxGeneral Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK U.S. Ventures VI L.P. 42.35550 $4,235,550.00 22.29237% c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite 200, Mountain View, California 94043, Attention: (000) 000-0000 XxxxxxxGeneral Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.53850 $153,850.00 0.80974% Advisors Fund VI L.P. c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite ---------------------------------- ------------------------- ------------------------ ----------------------- ---------------------------------- ------------------------- ------------------------ ----------------------- 200, Xxxxxxxx Xxxx, Xxxxxxxxxx 00000, Attention: General Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.61500 161,500.00 0.85000% Side Fund VI L.P. c/o Softbank Venture Capital, 000 Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESSXxxxxx Xxxxxx, Suite 200, Mountain View, California 94043, Attention: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville RoadGeneral Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- TOTAL 190 $19,000,000.00 100% ---------------------------------- ------------------------- ------------------------ ----------------------- EXHIBIT 2 --------- Form of Convertible Notes INTERLIANT, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holdersINC. Sales of shares may be made by selling security holders8% CONVERTIBLE SUBORDINATED NOTE DUE JUNE 30, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the 2003 [Issuance Date] No.___ $__________], any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of_ FOR VALUE RECEIVED, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealerundersigned, including resales for its accountINTERLIANT, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the sharesINC. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of ________hereby promises to pay to __________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders or its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, assigns (the "Preferred StockHolder") convertible into shares the principal sum of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___DOLLARS on June 30, 20062003, and to pay interest (computed on the Company filed basis of a Registration Statement 360-day year of twelve 30-day months) on Form S-[__] said principal sum quarterly on March 31, June 30, September 30 and December 31 of each year (File No. 333-_____________each an "Interest Payment Date") commencing on the first Interest Payment Date following the date of issuance hereof (the "Registration StatementIssuance Date") with ), at the Securities and Exchange Commission rate of 8% per annum, until the principal hereof is paid in full. From the Issuance Date until the Interest Payment Date immediately preceding the date on which the principal hereof is paid in full (the "SECRepayment Date"), such interest shall be paid on each Interest Payment Date by the issuance to the Holder of additional 8% Convertible Subordinated Notes due June 30, 2003 having the same terms and conditions (other than principal amount and Issuance Date) as this note (such additional notes, together with this note, are hereinafter individually referred to as a "Security" and collectively referred to as the "Securities") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each principal amount of the Holders as a selling securityholder thereunderinterest payable on such Interest Payment Date. In connection with Interest for the foregoing, we advise you that a member of period from the SEC's staff has advised us by telephone that Interest Payment Date immediately preceding the SEC has entered an order declaring Repayment Date through the Registration Statement effective under Repayment Date shall be paid in cash on the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] Repayment Date. This Security shall also have the following additional terms and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, Byconditions:__________________________________ cc: [LIST NAMES OF HOLDERS]

Appears in 1 contract

Samples: Registration Rights Agreement (Interliant Inc)

Purchasers. PURCHASERS NOTE PURCHASE NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO ADDRESS PRICE ------------------------ ------------------------------------------------------- Signal Capital Partners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor StamxxxxPartners, L.P. $1,200,000 00 X. 00xx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Xxx Xxxx, Xxx Xxxx 00000 Xxxxxxxxx: (000) 000-0030 Xxxx: Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 Attn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 X: (000) 000-0000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-000-000-0000 Xxx: 000-000-000-0000 Xxxxxxx: X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-9200-000-00 Xxx: 00-0000-000-00 Xxxxxxx: Xxxxx Xxxrtsch e-mail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, 35th Floor New York, NY 10019 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 xxxxxxx: Xxxxxx X. Rouhandeh e-xxxx: xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, #28D New York, NY 10016 Telephone: (212) 481-1390 Xxx: (000) 000-0000 Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Sankin, COO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Xxxxxxx Xxxxxxx Telephone: (000) 000-0000 XxxTelecopier: (000) 000-0000 Xxxxxxx------------------------ ------------------------------------------------------- Waterview Partners, LP $1,000,000 0000 Xxxxxx xx xxx Xxxxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Xxxxxxx Xxxxxxx Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 XxxTelecopier: (000) 000-0000 Xxxxxxx------------------------ ------------------------------------------------------- Exeter Capital Partners IV, L.P. $1,500,000 c/o The Exeter Group 00 X. 00xx Xxxxxx Xxx Xxxx, XX 00000 Attn: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holdersXxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Exeter Equity Partners, including their respective doneesL.P. $500,000 c/o The Exeter Group 00 X. 00xx Xxxxxx Xxx Xxxx, transfereesXX 00000 Attn: Xxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Burden Direct Investment Fund III $1,000,000 00 Xxxx 00xx Xxxxxx 00xx Xxxxx Xxx Xxxx, pledgees or other successorsXX 00000 Attn: Xxxxxxx Xxxxx Telephone: (000) 000-in0000 Telecopier: (000) 000-interest directly to purchasers or to or through underwriters0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Delta Opportunity Fund, brokerLtd. $600,000 c/o International Fund Administration, Ltd. Xxxxx 000 00 Xxx Xx Xxxxx Xxxx Xxxxxxxx XX00 Bermuda Telephone: (000) 000-dealers or through agents. Sales may be made from time to time on the [__________]0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Delta Opportunity Fund, any other exchange or market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(sInstitutional), where applicable; - that such brokerLLC $400,000 c/o Diaz & Altschul Management, LLC 000 Xxxxx Xxxxxx Xxxxx 0000 Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxxxxx X. Xxxxxxxx, Xx. Telephone: (000) 000-dealer(s0000 Telecopier: (000) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions000-0000 ------------------------------------------------------------- ------------------ Xxxxxxxx X. Xxxx $25,000 New York, New York Telephone: Telecopier: ------------------------------------------------------------- ------------------ Overbrook Fund I, LLC $250,000 c/o Overbrook Management Corporation 000 Xxxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxxx X. Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Fiber Island, LLC $500,000 000 Xxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X'Xxxxxxx Telephone: (000) 000-0000 Telecopier: (212) 421-0169 ------------------------------------------------------------- ------------------ Madison Investment Partners II LP $500,000 000 Xxxxxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxx Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxx Xxxx Partners, L.P. $250,000 000 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X. Xxxxxxx, Xx. In additionTelephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxxx X. Xxxxxx $25,000 c/o X'Xxxxxxxx Graev & Karabell, if required under applicable law or the rules or regulations of the CommissionLLP 00 Xxxxxxxxxxx Xxxxx Xxx Xxxx, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to brokerXX 00000 Telephone: (000) 000-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re0000 Telecopier: MacroChem Corporation Dear [______]: We are counsel to MacroChem Corporation, a Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement"000) dated as of __________________, 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series C Cumulative Convertible Preferred Stock, par value $0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 2006, the Company filed a Registration Statement on Form S-[__] (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]000-0000 ------------------------------------------------------------- ------------------

Appears in 1 contract

Samples: Securities Purchase Agreement (Fibernet Telecom Group Inc\)

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