Common Contracts
48 similar Underwriting Agreement contracts by Adamis Pharmaceuticals Corp, Aqua Metals, Inc., Energous Corp, others
132,075,218 Shares of Common Stock Pre-Funded Warrants to Purchase 30,086,944 Shares of Common Stock Perspective Therapeutics, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • January 22nd, 2024 • Perspective Therapeutics, Inc. • Surgical & medical instruments & apparatus
Perspective Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained within this agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of (i) 132,075,218 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (“Common Stock”), and (ii) pre-funded warrants to purchase up to 30,086,944 shares of Common Stock in lieu thereof (such shares of Common Stock issuable upon exercise of the Pre-Funded Warrants (as defined below), the “Warrant Shares”) at an exercise price of $0.001 per share in the form attached hereto as Exhibit A (the “Pre-Funded Warrants”). The respective amounts of the Firm Shares and Pre-Funded Warrants to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. The Firm Shares and the
6,400,000 Shares ONDAS HOLDINGS INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 11th, 2021 • Ondas Holdings Inc. • Radio & tv broadcasting & communications equipment • New York
Ondas Holdings Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 6,400,000 shares (the “Firm Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 960,000 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
5,410,628 Shares SIENTRA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 9th, 2021 • Sientra, Inc. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Sientra, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 5,410,628 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“Common Stock”). The Company also proposes to sell to the Underwriters, at the option of the Underwriters, up to an additional 811,594 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”. To the extent there are no additional Underwriters listed on Schedule I other than the Representative, the term Representative as used herein shall mean you, as Underwriters, and the term Underwriter shall mean either the singular or plural as the context requires
14,273,684 Shares MOLECULIN BIOTECH, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 4th, 2021 • Moleculin Biotech, Inc. • Pharmaceutical preparations • New York
Moleculin Biotech, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 14,273,684 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 2,141,052 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
40,540,540 Shares* Adamis Pharmaceuticals Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 29th, 2021 • Adamis Pharmaceuticals Corp • Pharmaceutical preparations • New York
Adamis Pharmaceuticals Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 40,540,540 shares of its Common Stock, par value $0.0001 per share (the “Common Stock”). The aggregate of 40,540,540 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 6,081,081 shares of Common Stock (the “Additional Shares”). The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
5,000,000 Shares GROWGENERATION CORP. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 9th, 2020 • GrowGeneration Corp. • Retail-building materials, hardware, garden supply • New York
GrowGeneration Corp., a Colorado corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 5,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 750,000 shares (the “Option Shares”) of Common Stock from the Company in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
1,403,509 Shares Forte Biosciences, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 29th, 2020 • Forte Biosciences, Inc. • Pharmaceutical preparations • New York
Forte Biosciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 1,403,509 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 210,526 shares (the “Company Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Company Option Shares are collectively called the “Shares.”
16,129,032 Shares* Adamis Pharmaceuticals Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 18th, 2020 • Adamis Pharmaceuticals Corp • Pharmaceutical preparations • New York
20,000,000 Shares Inuvo, Inc. Common Stock FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • July 23rd, 2020 • Inuvo, Inc. • Services-advertising • New York
Inuvo, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 20,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,500,000 shares (the “Company Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Company Option Shares are collectively called the “Shares.”
●] Shares GROWGENERATION CORP. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 24th, 2020 • GrowGeneration Corp. • Retail-building materials, hardware, garden supply • New York
GrowGeneration Corp., a Colorado corporation (the “Company”) , proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [●] shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
11,166,667 Shares SOLENO THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 25th, 2019 • Soleno Therapeutics Inc • Electromedical & electrotherapeutic apparatus • New York
Soleno Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 11,166,667 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,675,000 shares (the “Option Shares”) of Common Stock for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
5,000,000 Shares AZURRX BIOPHARMA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 22nd, 2019 • AzurRx BioPharma, Inc. • Pharmaceutical preparations • New York
AzurRx BioPharma, Inc., a Delaware corporation (the "Company"), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the "Underwriters"), for whom you are acting as Representative (the "Representative"), an aggregate of 5,000,000 shares (the "Firm Shares") of the Company's common stock, $0.0001 par value per share (the "Common Stock"). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 750,000 shares (the "Option Shares") of Common Stock for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the "Shares."
11,000,000 Shares AQUA METALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 10th, 2019 • Aqua Metals, Inc. • Secondary smelting & refining of nonferrous metals • New York
Aqua Metals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 11,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,650,000 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
FORM OF UNDERWRITING AGREEMENT [●] Shares ConversionPoint Holdings, Inc. Common StockUnderwriting Agreement • April 30th, 2019 • ConversionPoint Holdings, Inc. • Services-prepackaged software • New York
ConversionPoint Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [●] shares (the “Option Shares”) of Common Stock from the Company. The Firm Shares and the Option Shares are collectively called the “Shares.” The shares of Common Stock of the Company to be outstanding after giving effect to the sale of the Shares are referred to herein as the “Stock.”
AKOUSTIS TECHNOLOGIES, INC. 7,250,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 23rd, 2018 • Akoustis Technologies, Inc. • Telephone & telegraph apparatus • New York
Akoustis Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 7,250,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,087,500 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
Shares VALERITAS HOLDINGS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 15th, 2018 • Valeritas Holdings Inc. • Surgical & medical instruments & apparatus • New York
Valeritas Holdings, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions contained herein, to sell to Oppenheimer & Co. Inc. and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Oppenheimer & Co. Inc. is acting as Representative (the “Representative”), an aggregate of shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional (1) shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “Shares.”
1,666,667 Shares IRIDEX CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 18th, 2018 • Iridex Corp • Electromedical & electrotherapeutic apparatus • New York
IRIDEX Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 1,666,667 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“Common Stock”). The Company also proposes to sell to the several Underwriters, at the option of the Underwriters, exercisable for 30 days from the date of the Prospectus (as defined below), up to an additional 250,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
11,666,667 Shares* Adamis Pharmaceuticals Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 2nd, 2018 • Adamis Pharmaceuticals Corp • Pharmaceutical preparations • New York
Adamis Pharmaceuticals Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 11,666,667 shares of its Common Stock, par value $0.0001 per share (the “Common Stock”). The aggregate of 11,666,667 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 1,750,000 shares of Common Stock (the “Additional Shares”). The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
AQUA METALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 14th, 2018 • Aqua Metals, Inc. • Secondary smelting & refining of nonferrous metals • New York
Aqua Metals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 8,770,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,315,500 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
Shares VALERITAS HOLDINGS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 16th, 2018 • Valeritas Holdings Inc. • Surgical & medical instruments & apparatus • New York
Valeritas Holdings, Inc., a Delaware corporation (the "Company") proposes, subject to the terms and conditions contained herein, to sell to Oppenheimer & Co. Inc. and the other underwriters named on Schedule I to this Agreement (the "Underwriters"), for whom Oppenheimer & Co. Inc. is acting as Representative (the "Representative"), an aggregate of ________ shares (the "Firm Shares") of the Company's common stock, $0.001 par value per share (the "Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional ___________ shares (the "Option Shares") of Common Stock from the Company for the purpose of covering over‑allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the "Shares."
AQUA METALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2017 • Aqua Metals, Inc. • Secondary smelting & refining of nonferrous metals • New York
Aqua Metals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 7,150,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,072,500 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
10,630,000 Ordinary Shares INTEC PHARMA LTD. UNDERWRITING AGREEMENT (this “Agreement”)Underwriting Agreement • August 21st, 2017 • Intec Pharma Ltd. • Pharmaceutical preparations • New York
Intec Pharma Ltd., a company organized and existing under the laws of the State of Israel, public company number 513022780 (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 10,630,000 ordinary shares (the “Firm Shares”), no par value, of the Company (the “Ordinary Shares”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an aggregate of 1,594,500 additional Ordinary Shares (the “Option Shares”) from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
6,000,000 Shares FORM HOLDINGS CORP. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 26th, 2017 • FORM Holdings Corp. • Patent owners & lessors • New York
The Company has prepared and filed in conformity with the requirements of the Securities Act of 1933, as amended (the “Securities Act”), and the published rules and regulations thereunder (the “Rules”) adopted by the Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (No. 333-205303), which became effective as of July 23, 2015, including a base prospectus (the “Base Prospectus”) relating to common stock, preferred stock, debt securities, warrants, rights, purchase contracts and units of the Company that may be sold from time to time by the Company in accordance with Rule 415 of the Securities Act, and such amendments thereof as may have been required to the date of this Agreement. Copies of such Registration Statement (including all amendments thereof and all documents deemed incorporated by reference therein) and of the related Base Prospectus have heretofore been delivered by the Company or are otherwise available to you.
4,285,715 Shares* Adamis Pharmaceuticals Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 21st, 2017 • Adamis Pharmaceuticals Corp • Pharmaceutical preparations • New York
Adamis Pharmaceuticals Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 4,285,715 shares of its Common Stock, par value $0.0001 per share (the “Common Stock”). The aggregate of 4,285,715 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 642,857 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
1,000,000 Shares VUZIX CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 6th, 2016 • Vuzix Corp • Radio & tv broadcasting & communications equipment • New York
7,322,176 Shares BIOTIME, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 17th, 2016 • Biotime Inc • Biological products, (no disgnostic substances) • New York
BioTime, Inc., a California corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as representative (the “Representative”), an aggregate of 7,322,176 shares (the “Firm Shares”) of the Company’s common stock, no par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 1,098,326 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over‑allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
●] Shares PHASERX, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 10th, 2016 • Phaserx, Inc. • Pharmaceutical preparations • New York
PhaseRx, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained in this agreement (this “ Agreement ”), to sell to you and the other underwriters named on Schedule I hereto (collectively, the “ Underwriters ”), for whom you are acting as Representative (the “ Representative ”), an aggregate of [●] shares (the “ Firm Shares ”) of the Company’s common stock, $0.0001 par value per share (the “ Common Stock ”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [●] shares (the “ Option Shares ”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “ Shares .”
2,608,700 Shares ENERGOUS CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 18th, 2015 • Energous Corp • Radio & tv broadcasting & communications equipment • New York
Energous Corporation, a Delaware corporation (the "Company"), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the "Underwriters"), for whom you are acting as Representatives (the "Representatives"), an aggregate of 2,608,700 shares (the "Firm Shares") of the Company's common stock, $0.00001 par value per share (the "Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 391,305 shares (the "Option Shares") of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the "Shares."
Shares MABVAX THERAPEUTICS HOLDINGS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 14th, 2015 • Mabvax Therapeutics Holdings, Inc. • Pharmaceutical preparations • New York
MabVax Therapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained in this agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I hereto (collectively, the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of [___________] shares (the “Firm Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [__________] shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “Shares.”
21,000,000 Shares ARENA PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 23rd, 2015 • Arena Pharmaceuticals Inc • Pharmaceutical preparations • New York
Arena Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you (the “Representatives”), as Representatives of the underwriters named on Schedule I to this Agreement (the “Underwriters”), an aggregate of 21,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 3,000,000 shares (the “Option Shares”) of Common Stock from the Company. The Firm Shares and the Option Shares are collectively called the “Shares.”
2,000,000 Shares of ADAMIS PHARMACEUTICALS CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 9th, 2015 • Adamis Pharmaceuticals Corp • Pharmaceutical preparations • New York
Adamis Pharmaceuticals Corporation, a Delaware corporation (collectively with its subsidiaries, the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 2,000,000 shares (the “Firm Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”). All of the Firm Shares are to be issued and sold by the Company. The respective amounts of the Firm Shares to be purchased by each of the several underwriters are set forth opposite their names on Schedule I hereto (the “Underwriters”). In addition, but subject to the limitations under Instruction B.6 of the Form S-3, the Company proposes to grant to the Underwriters an option to purchase up to an additional 300,000 shares of Common Stock from the Company for the purpose of covering over-allotments in connection with
Shares Energous Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 1st, 2014 • Energous Corp • Radio & tv broadcasting & communications equipment • New York
Energous Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of [_____] shares (the “Firm Shares”) of the Company's common stock, $0.00001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [______] shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
2,750,000 Shares Dipexium Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 18th, 2014 • Dipexium Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Dipexium Pharmaceuticals, Inc., a Delaware corporation (f/k/a Dipexium Pharmaceuticals, LLC) (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 2,750,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 412,500 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “Shares.”
Shares Dipexium Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 24th, 2014 • Dipexium Pharmaceuticals, LLC • Pharmaceutical preparations • New York
Dipexium Pharmaceuticals, Inc., a Delaware corporation (f/k/a Dipexium Pharmaceuticals, LLC) (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “Shares.”
Shares STEMLINE THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 19th, 2012 • Stemline Therapeutics Inc • Pharmaceutical preparations • New York
Stemline Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of shares (the “Firm Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
