Common Contracts

Bridgewater Bancshares, Inc. Common Stock par value $0.01 per share Underwriting Agreement

Underwriting Agreement • February 16th, 2018 • Bridgewater Bancshares Inc • State commercial banks • New York

• Contract Type
  Underwriting Agreement
• Filed
  February 16th, 2018
• Company
  Bridgewater Bancshares Inc
• Industry
  State commercial banks
• Jurisdiction
  New York

Bridgewater Bancshares, Inc., a Minnesota corporation (the “Company”), proposes to issue and sell, and the shareholders listed in Schedule II hereto (the “Selling Shareholders”), acting severally and not jointly, propose to sell, subject to the terms and conditions stated herein, to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom Sandler O’Neill & Partners, L.P. is acting as representative (the “Representative”), an aggregate of: (i) [·] shares of the voting common stock, par value $0.01 per share (“Stock”), of the Company, (ii) [·] shares of the non-voting common stock, par value $0.01 per share, of the Company (such shares, the “Non-Voting Shares”), which will be converted into an identical number of shares of Stock pursuant hereto (such shares of Stock, together with the Stock referenced in clause (i), the “Firm Shares”), and (iii) at the election of the Underwriters, up to [·] additional shares (the “Optional Shares”) of Stock (the Firm Shares and the Opt

●] Shares Liquid Holdings Group, Inc. Common Stock par value $0.0001 per share Underwriting Agreement

Underwriting Agreement • April 30th, 2014 • Liquid Holdings Group, Inc. • Services-prepackaged software • New York

• Contract Type
  Underwriting Agreement
• Filed
  April 30th, 2014
• Company
  Liquid Holdings Group, Inc.
• Industry
  Services-prepackaged software
• Jurisdiction
  New York

Liquid Holdings Group, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom JMP Securities LLC is acting as representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 per share (the “Stock”). At the election of the Underwriters, the Company proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters up to [●] additional shares of Stock (the “Optional Shares”) (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).

•] Shares Liquid Holdings Group, Inc. Common Stock par value $0.0001 per share Underwriting Agreement

Underwriting Agreement • July 24th, 2013 • Liquid Holdings Group, Inc. • Services-prepackaged software • New York

• Contract Type
  Underwriting Agreement
• Filed
  July 24th, 2013
• Company
  Liquid Holdings Group, Inc.
• Industry
  Services-prepackaged software
• Jurisdiction
  New York

Liquid Holdings Group, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom Sandler O’Neill & Partners, L.P. is acting as representative (the “Representative”), an aggregate of [•] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 per share (the “Stock”). At the election of the Underwriters, the Company proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters up to [•] additional shares of Stock (the “Optional Shares”) (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).