NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON EXERCISE HEREOF NOR ANY INTEREST OR PARTICIPATION HEREIN OR THEREIN MAY BE SOLD, ASSIGNED, PLEDGED, HYPOTHECATED, ENCUMBERED OR IN ANY OTHER MANNER TRANSFERRED OR DISPOSED OF EXCEPT IN COMPLIANCE...Harris & Harris Group Inc /Ny/ • March 24th, 2000 • New York
Exhibit (K)(2) THE BANK OF NEW YORK ------------------------------------------- ------------------------------------- STOCK TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • August 3rd, 2005 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
HARRIS & HARRIS GROUP, INC. 2006 EQUITY INCENTIVE PLAN FORM OF INCENTIVE STOCK OPTION AGREEMENTIncentive Stock Option Agreement • June 26th, 2006 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
Common StockHarris & Harris Group Inc /Ny/ • August 11th, 2005 • Investors, nec • New York
EMPLOYMENT AGREEMENTEmployment Agreement • October 27th, 1999 • Harris & Harris Group Inc /Ny/ • New York
AMENDMENT NO. 4 TO DEFERRED COMPENSATION AGREEMENTDeferred Compensation Agreement • August 9th, 2006 • Harris & Harris Group Inc /Ny/ • Investors, nec
UNDERWRITING AGREEMENTUnderwriting Agreement • December 19th, 2003 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
STOCK PURCHASE AGREEMENT by and among HARRIS & HARRIS GROUP, INC. and AMERICAN BANKERS LIFE ASSURANCE COMPANY OF FLORIDA and AMERICAN BANKERS INSURANCE COMPANY OF FLORIDA Dated as of May 18, 1995Stock Purchase Agreement • March 29th, 1996 • Harris & Harris Group Inc /Ny/ • New York
3,000,000 Shares HARRIS & HARRIS GROUP, INC. Common Stock UNDERWRITING AGREEMENTHarris & Harris Group Inc /Ny/ • July 1st, 2004 • Investors, nec • New York
JP MORGAN MORGAN GUARANTY TRUST COMPANY OF NEW YORK Corporate Safekeeping Account Agreement Account Name: Harris & Harris Group, Inc. Account #: 88659 Gentlemen: By virtue of the authority contained in the resolutions set forth in the Certificate...Harris & Harris Group Inc /Ny/ • March 22nd, 2004 • Investors, nec • New York
Exhibit (i)(4) -------------- SEVERANCE COMPENSATION AGREEMENT THIS AGREEMENT, made effective as of August 15, 1990 by and between Harris & Harris Group, Inc., a New York corporation (the "Company"), and Charles E. Harris (the "Executive"). WHEREAS,...Severance Compensation Agreement • March 22nd, 2004 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
ContractAgreement of Lease • March 16th, 2015 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
THIS AGREEMENT OF LEASE (this “Lease”), made as of this 24th day of September, 2009 by and between Rosh 1450 Properties LLC, having an office c/o The Moinian Group, 530 Fifth Avenue, Suite 1800, New York, New York 10036 (“Landlord”) and HARRIS & HARRIS GROUP, INC., a New York corporation, having an office at 111 West 57th Street, Suite 1100, New York, New York 10019 (“Tenant”).
SUPPORT AGREEMENTSupport Agreement • February 13th, 2020 • 180 Degree Capital Corp. /Ny/ • Investors, nec • Delaware
THIS SUPPORT AGREEMENT (this “Agreement”) is made and entered into as of February 11, 2020 by and between Qumu Corporation, a Minnesota corporation (“Qumu”), and the undersigned stockholder (“Shareholder”) of Synacor, Inc., a Delaware corporation (“Synacor”). Capitalized terms that are used but not defined herein shall have the respective meanings ascribed thereto in the Merger Agreement (defined below).
HARRIS & HARRIS GROUP, INC. 2006 EQUITY INCENTIVE PLAN FORM OF NON-QUALIFIED STOCK OPTION AGREEMENTQualified Stock Option Agreement • June 26th, 2006 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
FORM OF LOCK-UP AGREEMENTLock-Up Agreement • May 14th, 2015 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
The undersigned, a holder of common stock, par value $0.01 (“Common Stock”), or rights to acquire Common Stock, of OpGen, Inc. (the “Company”), understands that you are the representative (the “Representative”) of the several underwriters (collectively, the “Underwriters”) named or to be named in the final form of Schedule A to the underwriting agreement (the “Underwriting Agreement”) to be entered into among the Underwriters and the Company, providing for the public offering (the “Public Offering”) of units, consisting of Common Stock and warrants to purchase Common Stock (the “Securities”) pursuant to a registration statement filed or to be filed with the U.S. Securities and Exchange Commission (the “SEC”). Capitalized terms used herein and not otherwise defined shall have the meanings set forth for them in the Underwriting Agreement.
GROUP AGREEMENTGroup Agreement • November 27th, 2020 • 180 Degree Capital Corp. /Ny/ • Investors, nec • New York
WHEREAS, 180 Degree Capital Corp., a New York corporation (“180 Degree Capital”), B. Riley Financial, Inc. and certain of its affiliated entities (collectively, “B. Riley”, and together with 180 Degree Capital, the “Group”) wish to form a group for the purpose of seeking to remove members of the Board of Directors of the Company (the “Board”) by written consent of stockholder of the Company in lieu of a meeting of stockholders, and for the purpose of taking all other action necessary or advisable to achieve the foregoing.
2,545,000 Shares HARRIS & HARRIS GROUP, INC. Common Stock PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 17th, 2008 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
Harris & Harris Group, Inc., a New York corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to certain investors (each an “Investor” and, collectively, the “Investors”), up to 2,545,000 shares (the “Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”). The Company desires to engage ThinkPanmure, LLC as its exclusive placement agent (the “Placement Agent”) in connection with such issuance and sale. The Shares are more fully described in the Registration Statement (as hereinafter defined).
AMENDMENT NO. 3 TO THE EMPLOYMENT AGREEMENT DATED AUGUST 15, 1990 BETWEEN HARRIS & HARRIS GROUP, INC. AND CHARLES E. HARRIS This is Amendment No. 3, dated as of June 30, 1994, to the Employment Agreement dated as of August 15, 1990 between Harris &...Employment Agreement • March 29th, 1996 • Harris & Harris Group Inc /Ny/
FORM OF INDEMNIFICATION AGREEMENTIndemnification Agreement • July 24th, 2009 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
This is an Indemnification Agreement dated as of _________ between HARRIS & HARRIS GROUP, INC., a New York corporation (the "Company"), and ___________. (the "Indemnitee").
Exhibit 10.5 DEFERRED COMPENSATION AGREEMENT AGREEMENT made as of the second day of February, 2000, by and between Harris & Harris Group, Inc., a corporation organized under the laws of the State of New York (the "Company"), and Charles E. Harris (the...Deferred Compensation Agreement • March 16th, 2005 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
ESCROW AGREEMENTEscrow Agreement • June 17th, 2008 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
Pursuant to Section 5(c) of the Escrow Agreement dated as of _________, 2008 (the “Escrow Agreement”), by and among ThinkPanmure, LLC, Harris & Harris Group, Inc. (the “Company”) and you, the Company hereby notifies you that the following subscription(s) have been rejected:
STOCKHOLDER VOTING AGREEMENTStockholder Voting Agreement • June 12th, 2019 • 180 Degree Capital Corp. /Ny/ • Investors, nec • Delaware
STOCKHOLDER VOTING AGREEMENT (this “Agreement”), dated as of June 11, 2019, by and among TheMaven, Inc., a Delaware corporation (“Parent”) and the stockholders listed on Schedule I hereto (each, a “Stockholder” and collectively, the “Stockholders”).
EXHIBIT A FORM OF Subscription Agreement Harris & Harris Group, Inc. 111 West 57th Street, Suite 1100 New York, New York 10019 Ladies and Gentlemen: The undersigned (the "Investor") hereby confirms and agrees with you as follows: 1. The subscription...Harris & Harris Group Inc /Ny/ • June 18th, 2007 • Investors, nec
From: The Purchasers of TheMaven, Inc., Series I Convertible Preferred Stock To: James Heckman and Robert Scott, jointly and severally180 Degree Capital Corp. /Ny/ • November 27th, 2020 • Investors, nec
NOTE DUE JANUARY 26, 2001 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND MAY NOT BE TRANSFERRED, SOLD OR OFFERED FOR SALE EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT AS TO...Harris & Harris Group Inc /Ny/ • March 24th, 2000
ASSIGNMENT AND ASSUMPTION AGREEMENTAssignment and Assumption Agreement • December 18th, 2023 • 180 Degree Capital Corp. /Ny/ • Investors, nec • New York
This Assignment and Assumption Agreement (this “Agreement”) is made and entered into as of December 4, 2023, by and between Kevin M. Rendino (the “Assignor”) and 180 Degree Capital Corp., a New York corporation (the “Assignee”).
4,250,000 Shares HARRIS & HARRIS GROUP, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 6th, 2009 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
Harris & Harris Group, Inc., a New York corporation (the “Company”), proposes, subject to the terms and conditions stated in this underwriting agreement (this “Agreement”), to issue and sell to Needham & Company, LLC (the “Underwriter”), and the Underwriter agrees to purchase, subject to the terms and conditions stated in this Agreement, an aggregate of 4,250,000 shares (the “Firm Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”). The Shares are more fully described in the Registration Statement (as hereinafter defined). The Company also proposes to grant to the Underwriter, subject to the terms and conditions stated in this Agreement, an option to purchase up to an additional 637,500 shares of Common Stock (the “Additional Shares”) on the terms and for the purposes set forth in Section 1 hereof. The Firm Shares and the Additional Shares are hereinafter collectively referred to as the “Shares.”
Joint Filing AgreementJoint Filing Agreement • August 1st, 2017 • 180 Degree Capital Corp. /Ny/ • Investors, nec
The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock and Warrants for Common Stock of Enumeral Biomedical Holdings, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D.
Joint Filing AgreementJoint Filing Agreement • May 21st, 2018 • 180 Degree Capital Corp. /Ny/ • Investors, nec
The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock of Adesto Technologies Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D.
Exhibit 10.6 TRUST UNDER HARRIS & HARRIS GROUP, INC. DEFERRED COMPENSATION AGREEMENTCompensation Agreement • March 16th, 2005 • Harris & Harris Group Inc /Ny/ • Investors, nec • Pennsylvania
FIRST AMENDMENT TO REVOLVING LOAN AGREEMENTRevolving Loan Agreement • June 21st, 2011 • Harris & Harris Group Inc /Ny/ • Investors, nec
This FIRST AMENDMENT TO REVOLVING LOAN AGREEMENT, dated as of June 21, 2011 (the “Amendment”), amends the REVOLVING LOAN AGREEMENT dated as of February 24, 2011 between HARRIS & HARRIS GROUP, INC., a New York business corporation with an address of 1450 Broadway, 24th Floor, New York, New York 10018 (the “Borrower”) and TD BANK, N.A., a national banking association having an office at 324 South Service Road, Melville, New York 11747 (the “Lender”). Unless otherwise expressly provided herein, all capitalized terms in this Amendment shall have the meanings given to them in the Agreement (as defined below).
AMENDMENT NO. 1 TO DEFERRED COMPENSATION AGREEMENTDeferred Compensation Agreement • March 16th, 2009 • Harris & Harris Group Inc /Ny/ • Investors, nec
AMENDMENT made as of March 20, 2003, to Deferred Compensation Agreement made as of February 2, 2000 (the "Agreement"), by and between Harris & Harris Group, Inc., a corporation organized under the laws of the State of New York (the "Company"), and Charles E. Harris (the "Executive").
1,300,000 Shares HARRIS & HARRIS GROUP, INC. Common Stock FORM OF PLACEMENT AGENCY AGREEMENTAgency Agreement • June 18th, 2007 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
Harris & Harris Group, Inc., a New York corporation (the “Company”), proposes to issue and sell to certain investors (each an “Investor” and, collectively, the “Investors”), up to an aggregate of 1,300,000 shares of the Company’s common stock, $0.01 par value per share (the “Common Stock”). The aggregate of 1,300,000 shares of Common Stock so proposed to be sold is hereinafter referred to as the “Shares.” The Company desires to engage Global Crown Capital, LLC as its exclusive placement agent (the “Placement Agent”) in connection with such issuance and sale of the Shares.
Joint Filing AgreementJoint Filing Agreement • August 15th, 2017 • 180 Degree Capital Corp. /Ny/ • Investors, nec
The undersigned hereby agree that a single Schedule 13D (or any amendment thereto) relating to the Common Stock and Warrants for Common Stock of Enumeral Biomedical Holdings, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D.
AMENDED AND RESTATED EMPLOYMENT AGREEMENT between HARRIS & HARRIS GROUP, INC. and CHARLES E. HARRIS dated as of October 14, 2004 AMENDED AND RESTATED EMPLOYMENT AGREEMENT AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the "Agreement"), dated as of October...Employment Agreement • October 15th, 2004 • Harris & Harris Group Inc /Ny/ • Investors, nec • New York
