Chardan Capital Markets, LLCNanoviricides, Inc. • March 1st, 2019 • Services-commercial physical & biological research • New York
Company FiledMarch 1st, 2019 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Chardan Capital Markets, LLC (“Chardan”) (the “Placement Agent”) and Nanoviricides, Inc. (the “Company”), that Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $.001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock (the “Warrants”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents execu
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • May 24th, 2016 • Pharmaceutical preparations • New York
Company FiledMay 24th, 2016 Industry Jurisdiction
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • November 5th, 2015 • Pharmaceutical preparations • New York
Company FiledNovember 5th, 2015 Industry Jurisdiction
ECOBAN SECURITIES CORPORATION 521 Fifth Avenue, Suite 630, New York, N.Y. 10175 TEL (212) 805-8300 × FAX (212) 805-8395United States Antimony Corp • July 3rd, 2014 • Primary smelting & refining of nonferrous metals • New York
Company FiledJuly 3rd, 2014 Industry Jurisdiction
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • June 5th, 2014 • Services-business services, nec • New York
Company FiledJune 5th, 2014 Industry Jurisdiction
CONFIDENTIAL Steven P. Nickolas President, Chief Executive Officer and Director The Alkaline Water Company Inc. 7730 East Greenway Road Suite 203 Scottsdale, AZ 85260 Dear Mr. Nickolas:ALKALINE WATER Co INC • March 12th, 2014 • Wholesale-groceries & related products • New York
Company FiledMarch 12th, 2014 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between H.C. Wainwright & Co., LLC. (“HCW” or the “Placement Agent”) and The Alkaline Water Company Inc. (the “Company”), that HCW shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the private or public placement(s) (each, a “Placement”) of one or more classes or series of registered or unregistered securities (the “Securities”) of the Company, including but not limited to an offering off the Company’s filed registration statement on Form S-1 (“S-1 Registration Statement”) pursuant to which the Company seeks to offer and sell registered Securities to investors (such Placement, the “S-1 Offering”). Each Placement may include shares of the Company’s common stock (“Common Stock”), debt, convertible debt, convertible preferred stock and warrants to purchase shares of Common Stock (any such shares of Common Stock or shares of Common Stock underlying any convertible or
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • August 16th, 2013 • Services-business services, nec • New York
Company FiledAugust 16th, 2013 Industry Jurisdiction
Chardan Capital Markets, LLCSenesco Technologies Inc • May 9th, 2013 • Services-commercial physical & biological research • New York
Company FiledMay 9th, 2013 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Chardan Capital Markets, LLC (“Placement Agent”) and Senesco Technologies, Inc. (the “Company”), that Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $.01 per share (the “Common Stock”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the
CONFIDENTIALNovelos Therapeutics, Inc. • January 31st, 2013 • Pharmaceutical preparations • New York
Company FiledJanuary 31st, 2013 Industry JurisdictionThis amended and restated letter (the ”Agreement”) constitutes the agreement between Burrill LLC (“Burrill” or the “Placement Agent”) and Novelos Therapeutics, Inc, (the “Company”), that Burrill shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.00001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock (the “Warrants”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Burrill would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement, the Subscription Agreem
CONFIDENTIALNovelos Therapeutics, Inc. • November 20th, 2012 • Pharmaceutical preparations • New York
Company FiledNovember 20th, 2012 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Burrill LLC (“Burrill” or the “Placement Agent”) and Novelos Therapeutics, Inc, (the “Company”), that Burrill shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.00001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock (the “Warrants”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Burrill would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement, the Subscription Agreements (as defined belo
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • November 19th, 2012 • Services-business services, nec • New York
Company FiledNovember 19th, 2012 Industry Jurisdiction
CONFIDENTIAL Stephen M. Simes President & Chief Executive Officer BioSante Pharmaceuticals, Inc.Biosante Pharmaceuticals Inc • August 17th, 2012 • Biological products, (no disgnostic substances) • New York
Company FiledAugust 17th, 2012 Industry Jurisdiction
CONFIDENTIAL pSivida Corp.pSivida Corp. • August 2nd, 2012 • Laboratory analytical instruments • New York
Company FiledAugust 2nd, 2012 Industry Jurisdiction
CONFIDENTIAL James A. Bianco, M.D. Chief Executive Officer Cell Therapeutics, Inc.Cell Therapeutics Inc • May 31st, 2012 • Pharmaceutical preparations • New York
Company FiledMay 31st, 2012 Industry Jurisdiction
CONFIDENTIALParkervision Inc • April 13th, 2012 • Radio & tv broadcasting & communications equipment • New York
Company FiledApril 13th, 2012 Industry Jurisdiction
CONFIDENTIAL Titan Pharmaceuticals, Inc.Titan Pharmaceuticals Inc • April 10th, 2012 • Biological products, (no disgnostic substances) • New York
Company FiledApril 10th, 2012 Industry Jurisdiction
CONFIDENTIALNovelos Therapeutics, Inc. • April 9th, 2012 • Pharmaceutical preparations • New York
Company FiledApril 9th, 2012 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and Novelos Therapeutics, Inc, (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.00001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock (the “Warrants”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement, the Subscription Agreements (as defin
January 31, 2012Spherix Inc • February 3rd, 2012 • Services-engineering, accounting, research, management • New York
Company FiledFebruary 3rd, 2012 Industry Jurisdiction
CONFIDENTIAL Jones Soda Co.Jones Soda Co • February 2nd, 2012 • Beverages • New York
Company FiledFebruary 2nd, 2012 Industry Jurisdiction
CONFIDENTIAL Ray Leonard President and Chief Executive Officer Hyperdynamics Corporation 12012 Wickchester Lane, Suite 475 Houston, Texas 77079 Dear Mr. Leonard:Hyperdynamics Corp • February 1st, 2012 • Crude petroleum & natural gas • New York
Company FiledFebruary 1st, 2012 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and Hyperdynamics Corporation (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and
CONFIDENTIAL OncoSec Medical IncorporatedONCOSEC MEDICAL Inc • January 24th, 2012 • Services-business services, nec • New York
Company FiledJanuary 24th, 2012 Industry Jurisdiction
CONFIDENTIAL James A. Bianco, M.D. Chief Executive Officer Cell Therapeutics, Inc.Cell Therapeutics Inc • December 14th, 2011 • Pharmaceutical preparations • New York
Company FiledDecember 14th, 2011 Industry Jurisdiction
CONFIDENTIALCatasys, Inc. • July 22nd, 2011 • Services-misc health & allied services, nec • New York
Company FiledJuly 22nd, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and Catasys, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares of the Company’s common stock, par value $___ per share (the “Shares” or “Common Stock”) [and warrants to purchase shares of Common Stock]. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchaser
CONFIDENTIAL James A. Bianco, M.D. Chief Executive Officer Cell Therapeutics, Inc.Cell Therapeutics Inc • July 6th, 2011 • Pharmaceutical preparations • New York
Company FiledJuly 6th, 2011 Industry Jurisdiction
CONFIDENTIALCleveland Biolabs Inc • June 21st, 2011 • Services-commercial physical & biological research • New York
Company FiledJune 21st, 2011 Industry Jurisdiction
CONFIDENTIAL James A. Bianco, M.D. Chief Executive Officer Cell Therapeutics, Inc.Cell Therapeutics Inc • May 2nd, 2011 • Pharmaceutical preparations • New York
Company FiledMay 2nd, 2011 Industry Jurisdiction
CONFIDENTIAL Stephen M. Simes President & Chief Executive Officer BioSante Pharmaceuticals, Inc.Biosante Pharmaceuticals Inc • March 4th, 2011 • Biological products, (no disgnostic substances) • New York
Company FiledMarch 4th, 2011 Industry Jurisdiction
CONFIDENTIALDejour Enterprises LTD • February 3rd, 2011 • Mining & quarrying of nonmetallic minerals (no fuels) • California
Company FiledFebruary 3rd, 2011 Industry Jurisdiction
Ladenburg Thalmann & Co. Letterhead]pSivida Corp. • January 19th, 2011 • Laboratory analytical instruments • New York
Company FiledJanuary 19th, 2011 Industry Jurisdiction
Rodman & Renshaw Letterhead]pSivida Corp. • January 19th, 2011 • Laboratory analytical instruments • New York
Company FiledJanuary 19th, 2011 Industry Jurisdiction
CONFIDENTIAL Mr. Zhang Shunqing Chairman and CEO China GengSheng Minerals, Inc. No. 88 Gengsheng Road, Dayugou Town Gongyi, Henan 451271 CHINA Dear Mr. Shunqing:China Gengsheng Minerals, Inc. • January 10th, 2011 • Miscellaneous manufacturing industries • New York
Company FiledJanuary 10th, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China GengSheng Minerals, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, consisting of shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), and warrants to purchase shares of Common Stock (the “Warrants”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and de
CONFIDENTIAL Mr. Pierce Carson CEO Santa Fe Gold Corporation 1128 Pennsylvania NE Suite 200 Albuquerque, NM 87110 Dear Mr. Carson:Santa Fe Gold CORP • January 5th, 2011 • Metal mining • New York
Company FiledJanuary 5th, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and Santa Fe Gold Corporation (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $___ per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and th
CONFIDENTIALChina Direct Industries, Inc. • January 4th, 2011 • Primary smelting & refining of nonferrous metals • New York
Company FiledJanuary 4th, 2011 Industry Jurisdiction
CONFIDENTIAL Stephen M. Simes President & Chief Executive Officer BioSante Pharmaceuticals, Inc.Biosante Pharmaceuticals Inc • December 29th, 2010 • Biological products, (no disgnostic substances) • New York
Company FiledDecember 29th, 2010 Industry Jurisdiction
CONFIDENTIALSolar Enertech Corp • November 12th, 2010 • Semiconductors & related devices • New York
Company FiledNovember 12th, 2010 Industry Jurisdiction