Common Contracts
87 similar Underwriting Agreement contracts by Kiora Pharmaceuticals Inc, Benitec Biopharma Inc., Kempharm, Inc, others
14,640,000 SHARES of Common Stock AND 6,110,000 PRE-FUNDED WARRANTS (EXERCISABLE FOR 6,110,000 WARRANT SHARES) Societal CDMO, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • August 28th, 2023 • Societal CDMO, Inc. • Pharmaceutical preparations • New York
The undersigned, Societal CDMO, Inc., a company incorporated under the laws of Pennsylvania (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Societal CDMO, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Craig-Hallum Capital Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
417,815 SHARES OF COMMON STOCK, 15,126,226 PRE-FUNDED WARRANTS TO PURCHASE 15,126,226 SHARES OF COMMON STOCK AND 15,544,041 COMMON WARRANTS TO PURCHASE 15,544,041 SHARES OF COMMON STOCK OF BENITEC BIOPHARMA INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 11th, 2023 • Benitec Biopharma Inc. • Pharmaceutical preparations • New York
The undersigned, Benitec Biopharma Inc., a company incorporated under the laws of Delaware (collectively with its direct and indirect subsidiaries as applicable to the context used herein, the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Citizens JMP Securities, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
] SHARES OF COMMON STOCK, [ ] PRE-FUNDED WARRANTS TO PURCHASE [ ] SHARES OF COMMON STOCK AND [ ] COMMON WARRANTS TO PURCHASE [ ] SHARES OF COMMON STOCK OF BENITEC BIOPHARMA INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 3rd, 2023 • Benitec Biopharma Inc. • Pharmaceutical preparations • New York
The undersigned, Benitec Biopharma Inc., a company incorporated under the laws of Delaware (collectively with its direct and indirect subsidiaries as applicable to the context used herein, the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Citizens JMP Securities, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK AND [___] PRE-FUNDED WARRANTS TO PURCHASE [___] SHARES OF COMMON STOCK AND OF BENITEC BIOPHARMA INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 31st, 2023 • Benitec Biopharma Inc. • Pharmaceutical preparations • New York
The undersigned, Benitec Biopharma Inc., a company incorporated under the laws of Delaware (collectively with its direct and indirect subsidiaries as applicable to the context used herein, the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which JMP Securities LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • March 28th, 2023 • Auddia Inc. • Services-computer processing & data preparation • New York
The undersigned, Auddia Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Auddia Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
1,050,000 SHARES of Common Stock APREA THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 24th, 2023 • Aprea Therapeutics, Inc. • Pharmaceutical preparations • New York
The undersigned, Aprea Therapeutics, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Aprea Therapeutics, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • February 10th, 2023 • ReShape Lifesciences Inc. • Surgical & medical instruments & apparatus • New York
The undersigned, ReShape Lifesciences Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of ReShape Lifesciences Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES of Common Stock, _____________ PRE-FUNDED WARRANTS and _____________ COMMON Warrants of RESHAPE LIFESCIENCES INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 27th, 2023 • ReShape Lifesciences Inc. • Surgical & medical instruments & apparatus • New York
The undersigned, ReShape Lifesciences Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of ReShape Lifesciences Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _________ SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) _______ SERIES 1 WARRANTS (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) AND _______ SERIES 2 WARRANTS (EXERCISABLE FOR...Underwriting Agreement • August 11th, 2022 • Palisade Bio, Inc. • Biological products, (no disgnostic substances) • New York
The undersigned, Palisade Bio, Inc., Delaware corporation (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of Palisade Bio, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters, if any (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _________ SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) _______ SERIES 1 WARRANTS (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) AND _______ SERIES 2 WARRANTS (EXERCISABLE FOR...Underwriting Agreement • August 10th, 2022 • Palisade Bio, Inc. • Biological products, (no disgnostic substances) • New York
The undersigned, Palisade Bio, Inc., Delaware corporation (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of Palisade Bio, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters, if any (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _________ SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) AND _______ WARRANTS (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) OF PALISADE BIO, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 2nd, 2022 • Palisade Bio, Inc. • Biological products, (no disgnostic substances) • New York
The undersigned, Palisade Bio, Inc., Delaware corporation (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of Palisade Bio, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters, if any (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
19,770,172 SHARES of Common Stock, 1,280 SHARES OF SERIES E CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO 6,400,000 SHARES OF COMMON STOCK) 26,170,172 Class A Warrants (EXERCISABLE FOR 26,170,172 SHARES OF COMMON STOCK) and 26,170,172 class B Warrants...Underwriting Agreement • July 26th, 2022 • Kiora Pharmaceuticals Inc • Pharmaceutical preparations • New York
The undersigned, Kiora Pharmaceuticals, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Kiora Pharmaceuticals, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES of Common Stock, _________ SHARES OF SERIES E CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) _______ Class A Warrants (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) and _______ class B Warrants (EXERCISABLE FOR...Underwriting Agreement • July 21st, 2022 • Kiora Pharmaceuticals Inc • Pharmaceutical preparations • New York
The undersigned, Kiora Pharmaceuticals, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Kiora Pharmaceuticals, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES of Common Stock, _________ SHARES OF SERIES E CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) and _______ Warrants (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) of KIORA PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 19th, 2022 • Kiora Pharmaceuticals Inc • Pharmaceutical preparations • New York
The undersigned, Kiora Pharmaceuticals, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Kiora Pharmaceuticals, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
16,075,000 SHARES OF COMMON STOCK 16,666,667 COMMON WARRANTS (EXERCISABLE FOR 16,666,667 WARRANT SHARES) AND 591,667 PRE-FUNDED WARRANTS (EXERCISABLE FOR 591,667 WARRANT SHARES) OF APPLIED GENETIC TECHNOLOGIES CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • July 14th, 2022 • Applied Genetic Technologies Corp • Biological products, (no disgnostic substances) • New York
The undersigned, Applied Genetic Technologies Corporation, a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which H.C. Wainwright & Co., LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES of Common Stock, _________ SHARES OF SERIES E CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO ______ SHARES OF COMMON STOCK) and _______ Warrants (EXERCISABLE FOR ______ SHARES OF COMMON STOCK) of KIORA PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 13th, 2022 • Kiora Pharmaceuticals Inc • Pharmaceutical preparations • New York
The undersigned, Kiora Pharmaceuticals, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Kiora Pharmaceuticals, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • May 19th, 2022 • Imperial Petroleum Inc./Marshall Islands • Deep sea foreign transportation of freight • New York
The undersigned, Imperial Petroleum Inc., a company incorporated under the laws of the Republic of the Marshall Islands (collectively with its subsidiaries and controlled affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or controlled affiliates of Imperial Petroleum Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • May 4th, 2022 • Imperial Petroleum Inc./Marshall Islands • Deep sea foreign transportation of freight • New York
The undersigned, Imperial Petroleum Inc., a company incorporated under the laws of the Republic of the Marshall Islands (collectively with its subsidiaries and controlled affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or controlled affiliates of Imperial Petroleum Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • April 19th, 2022 • Oncocyte Corp • In vitro & in vivo diagnostic substances • New York
The undersigned, OncoCyte Corporation, a company incorporated under the laws of California (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of OncoCyte Corporation, the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which BTIG, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • April 7th, 2022 • OceanPal Inc. • Deep sea foreign transportation of freight • New York
The undersigned, OceanPal Inc., a company incorporated under the laws of the Republic of the Marshall Islands (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of OceanPal Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
1,440,000 SERIES B WARRANTS SMART FOR LIFE, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 23rd, 2022 • Smart for Life, Inc. • Medicinal chemicals & botanical products • New York
The undersigned, Smart for Life, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Dawson James Securities, Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
WARRANTS OF SMART FOR LIFE, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 2nd, 2022 • Smart for Life, Inc. • Medicinal chemicals & botanical products • New York
The undersigned, Smart for Life, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Dawson James Securities, Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • August 12th, 2021 • RenovoRx, Inc. • Pharmaceutical preparations • New York
The undersigned, RenovoRx, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of RenovoRx, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which RenovoRx, Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNDERWRITING AGREEMENTUnderwriting Agreement • August 5th, 2021 • RenovoRx, Inc. • Pharmaceutical preparations • New York
The undersigned, RenovoRx, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of RenovoRx, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which RenovoRx, Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
UNICYCIVE THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • June 7th, 2021 • Unicycive Therapeutics, Inc. • Pharmaceutical preparations • New York
The undersigned, UNICYCIVE THERAPEUTICS INC., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of UNICYCIVE THERAPEUTICS INC., (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which ROTH CAPITAL PARTNERS, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
10,323,484 SHARES OF COMMON STOCK, PAR VALUE $0.01 PER SHARE SEACHANGE INTERNATIONAL, INC. UNDERWRITING AGREEMENT March 30, 2021Underwriting Agreement • April 1st, 2021 • Seachange International Inc • Radio & tv broadcasting & communications equipment • New York
The undersigned, SeaChange International, Inc., a Delaware stock corporation (collectively with its Subsidiaries (as defined below) the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Aegis Capital Corp. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
4,146,342 SHARES of Common Stock VUZIX CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • March 26th, 2021 • Vuzix Corp • Radio & tv broadcasting & communications equipment • New York
The undersigned, Vuzix Corporation, a company incorporated under the laws of Delaware (collectively with its subsidiaries, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries of Vuzix Corporation, the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which BTIG, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
14,000,000 SHARES OF COMMON STOCK BIOLASE, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 10th, 2021 • Biolase, Inc • Dental equipment & supplies • New York
The undersigned, BIOLASE, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of BIOLASE, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK AND WARRANTS OF HELIUS MEDICAL TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 20th, 2021 • Helius Medical Technologies, Inc. • Electromedical & electrotherapeutic apparatus • New York
The undersigned, Helius Medical Technologies, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Ladenburg Thalmann & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _____________ SERIES B WARRANTS (EXERCISABLE FOR _________SHARES) AND _____________ SERIES A WARRANTS (EXERCISABLE FOR _________SHARES) OF KEMPHARM, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 8th, 2021 • Kempharm, Inc • Pharmaceutical preparations • New York
The undersigned, KemPharm, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of KemPharm, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Roth Capital Partners, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _____________ SERIES B WARRANTS (EXERCISABLE FOR _________SHARES) AND _____________ SERIES A WARRANTS (EXERCISABLE FOR _________SHARES) OF KEMPHARM, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 5th, 2021 • Kempharm, Inc • Pharmaceutical preparations • New York
The undersigned, KemPharm, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of KemPharm, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Roth Capital Partners, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
18,148,136 SHARES of Common StOCK CELLECTAR BIOSCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • December 28th, 2020 • Cellectar Biosciences, Inc. • Pharmaceutical preparations • New York
The undersigned, Cellectar Biosciences, Inc., a Delaware corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Cellectar Biosciences, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Oppenheimer & Co. Inc. is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
SHARES OF COMMON STOCK, _____________ SERIES B WARRANTS (EXERCISABLE FOR _________SHARES) AND _____________ SERIES A WARRANTS (EXERCISABLE FOR _________SHARES) OF KEMPHARM, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • December 21st, 2020 • Kempharm, Inc • Pharmaceutical preparations • New York
The undersigned, KemPharm, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of KemPharm, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Roth Capital Partners, LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
1,780,000 COMMON SHARES AND 1,780,000 WARRANTS OF INMED PHARMACEUTICALS INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2020 • InMed Pharmaceuticals Inc. • Pharmaceutical preparations • New York
The undersigned, InMed Pharmaceuticals Inc., a company incorporated under the laws of the Province of British Columbia (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of InMed Pharmaceuticals Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Roth Capital Partners, LLC is acting as representative to the several Underwriters (the “Representative”) and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
80,000,000 SHARES of Common Stock and 80,000,000 Warrants (exercisable for 80,000,000 shares) of TITAN PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 2nd, 2020 • Titan Pharmaceuticals Inc • Biological products, (no disgnostic substances) • New York
The undersigned, Titan Pharmaceuticals, Inc., a company incorporated under the laws of Delaware (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
