and Pre-Funded Warrants to Purchase 3,610,997 Shares of Common Stock PLACEMENT AGENT AGREEMENTAtossa Genetics Inc • June 10th, 2015 • Surgical & medical instruments & apparatus • New York
Company FiledJune 10th, 2015 Industry JurisdictionAtossa Genetics Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the purchasers, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and the Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and collectively, the “Purchasers”), (i) up to an aggregate of 1,829,003 shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, and (ii) pre-funded warrants to purchase 3,610,997 shares of Common Stock (the “Pre-funded Warrants”). The Form of the Pre-funded Warrant is attached hereto as Exhibit B. The Shares and the Pre-Funded Warrants to be sold by the Company are collectively referred to as the “Securities. The Company hereby confirms its agreement with Roth Capital Partners, LLC and Dawson James Securities, Inc. (together, the “Placement Agent”) to act as Placement A
GUIDED THERAPEUTICS, INC. Up to 16,785,415 Shares of Common Stock 16,785,415 Warrants to Purchase up to 8,392,708 Shares of Common Stock Up to 8,392,708 Shares of Common Stock Underlying Warrants PLACEMENT AGENT AGREEMENTGuided Therapeutics Inc • December 4th, 2014 • Electromedical & electrotherapeutic apparatus • New York
Company FiledDecember 4th, 2014 Industry JurisdictionGuided Therapeutics, Inc., a Delaware corporation (the “Company”), proposes to issue and sell, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), (i) to the Purchasers, up to an aggregate of 16,785,415 shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, accompanied by a warrant (a “Purchaser Warrant”), in the form attached hereto as Exhibit B, to purchase one-half of a share of Common Stock (a “Purchaser Warrant Share” and, together with the Shares and the Purchaser Warrant Share, the “Securities”), and (ii) to Olympus Securities LLC (the “Placement Agent”), up to four and one-half percent (4.5%) of the total number of Shares and Purchaser Warrants sold to the Purchasers under the Subscrip
GUIDED THERAPEUTICS, INC. Up to 25,178,123 Shares of Common Stock 25,178,123 Warrants to Purchase up to 8,392,708 Shares of Common Stock Up to 8,392,708 Shares of Common Stock Underlying Warrants PLACEMENT AGENT AGREEMENTGuided Therapeutics Inc • December 3rd, 2014 • Electromedical & electrotherapeutic apparatus • New York
Company FiledDecember 3rd, 2014 Industry JurisdictionGuided Therapeutics, Inc., a Delaware corporation (the “Company”), proposes to issue and sell, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), (i) to the Purchasers, up to an aggregate of 25,178,123 shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, accompanied by a warrant (a “Purchaser Warrant”), in the form attached hereto as Exhibit B, to purchase one-half of a share of Common Stock (a “Purchaser Warrant Share” and, together with the Shares and the Purchaser Warrant Share, the “Securities”), and (ii) to Olympus Securities LLC (the “Placement Agent”), up to four and one-half percent (4.5%) of the total number of Shares and Purchaser Warrants sold to the Purchasers under the Subscrip
GUIDED THERAPEUTICS, INC. Up to __________ Shares of Common Stock __________ Warrants to Purchase up to __________ Shares of Common Stock Up to __________ Shares of Common Stock Underlying Warrants PLACEMENT AGENT AGREEMENTGuided Therapeutics Inc • November 10th, 2014 • Electromedical & electrotherapeutic apparatus • New York
Company FiledNovember 10th, 2014 Industry JurisdictionGuided Therapeutics, Inc., a Delaware corporation (the “Company”), proposes to issue and sell, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), (i) to the Purchasers, up to an aggregate of __________ shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, accompanied by a warrant (a “Purchaser Warrant”), in the form attached hereto as Exhibit B, to purchase one-half of a share of Common Stock (a “Purchaser Warrant Share” and, together with the Shares and the Purchaser Warrant Share, the “Securities”), and (ii) to Olympus Securities LLC (the “Placement Agent”), up to four and one-half percent (4.5%) of the total number of Shares and Purchaser Warrants sold to the Purchasers under the Subscrip
GUIDED THERAPEUTICS, INC. Up to __________ Shares of Common Stock __________ Warrants to Purchase up to __________ Shares of Common Stock Up to __________ Shares of Common Stock Underlying Warrants PLACEMENT AGENT AGREEMENTGuided Therapeutics Inc • September 15th, 2014 • Electromedical & electrotherapeutic apparatus • New York
Company FiledSeptember 15th, 2014 Industry JurisdictionGuided Therapeutics, Inc., a Delaware corporation (the “Company”), proposes to issue and sell, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), (i) to the Purchasers, up to an aggregate of __________ shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, accompanied by a warrant (a “Purchaser Warrant”), in the form attached hereto as Exhibit B, to purchase one-half of a share of Common Stock (a “Purchaser Warrant Share” and, together with the Shares and the Purchaser Warrant Share, the “Securities”), and (ii) to Olympus Securities LLC (the “Placement Agent”), up to ten percent (10%) of the total number of Shares and Purchaser Warrants sold to the Purchasers under the Subscription Agreements
CATALYST PHARMACEUTICAL PARTNERS, INC. 8,800,000 shares of Common Stock PLACEMENT AGENT AGREEMENTCatalyst Pharmaceutical Partners, Inc. • September 5th, 2013 • Pharmaceutical preparations • California
Company FiledSeptember 5th, 2013 Industry JurisdictionCatalyst Pharmaceutical Partners, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the purchasers, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and the Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), up to an aggregate of 8,800,000 authorized but unissued shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company hereby confirms its agreement with Roth Capital Partners, LLC (the “Placement Agent”) to act as Placement Agent in accordance with the terms and conditions hereof.
CATALYST PHARMACEUTICAL PARTNERS, INC. 4,000,000 shares of Common Stock and Warrants to purchase up to 1,200,000 shares of Common Stock PLACEMENT AGENT AGREEMENTCatalyst Pharmaceutical Partners, Inc. • August 28th, 2012 • Pharmaceutical preparations • California
Company FiledAugust 28th, 2012 Industry JurisdictionCatalyst Pharmaceutical Partners, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the purchasers, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and the Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), up to an aggregate of (i) 4,000,000 authorized but unissued shares (the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company and (ii) warrants (the “Warrants”) to purchase up to 1,200,000 shares of Common Stock (the “Warrant Shares”). The form of the Warrant is attached hereto as Exhibit B. The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities.” The Company hereby confirms its agreement with Roth Capital Partners, LLC (the “Placement Agent”) to act as Placement Agent in accordance wit