Common Contracts
19 similar Underwriting Agreement contracts by Keryx Biopharmaceuticals Inc, Corcept Therapeutics Inc, First Internet Bancorp, others
14,000,000 Shares Pre-Funded Warrants to Purchase Up to 6,000,000 Shares KOPIN CORPORATION Common Stock ($0.01 Par Value) UNDERWRITING AGREEMENTUnderwriting Agreement • January 26th, 2023 • Kopin Corp • Semiconductors & related devices
Kopin Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters (collectively, the “Underwriters”) named in Schedule I to this agreement (this “Agreement”) for whom you are acting as representative (the “Representative”), an aggregate of 14,000,000 shares (the “Firm Shares”) of common stock, par value $0.01 per share (the “Common Stock”), of the Company and pre-funded warrants (the “Warrants”) to purchase up to an aggregate of 6,000,000 shares of Common Stock in the form attached here to as Exhibit A. The Company also proposes to sell to the several Underwriters, at the option of the Underwriters, up to an additional 3,000,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares.” The Shares and the Warrants are herein referred to as the “Securities.” The shares of Common Stock issuable upon exercise of the Warrants are herein referred to as the “Warr
1,505,000 Shares FIRST INTERNET BANCORP Common Stock, no par value per share UNDERWRITING AGREEMENTUnderwriting Agreement • June 7th, 2018 • First Internet Bancorp • State commercial banks • New York
First Internet Bancorp, an Indiana 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 1,505,000 shares (the “Firm Shares”) of the common stock, no par value (“Common Stock”), of the Company. Keefe, Bruyette & Woods, Inc. (“KBW”) has agreed to act as Representative of the Underwriters (in such capacity, the “Representative”) in connection with the offering and sale of the Shares (as defined below). The Company also proposes to sell to the Underwriters, at the option of the Underwriters, up to an additional 225,750 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
1,650,000 Shares FIRST INTERNET BANCORP Common Stock, no par value per share UNDERWRITING AGREEMENTUnderwriting Agreement • September 15th, 2017 • First Internet Bancorp • State commercial banks • New York
First Internet Bancorp, an Indiana 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 1,650,000 shares (the “Firm Shares”) of the common stock, no par value (“Common Stock”), of the Company. Keefe, Bruyette & Woods, Inc. (“KBW”) has agreed to act as Representative of the Underwriters (in such capacity, the “Representative”) in connection with the offering and sale of the Shares (as defined below). The Company also proposes to sell to the Underwriters, at the option of the Underwriters, up to an additional 247,500 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
NN, INC. 6,600,000 Common Shares Common Stock, $.01 par value per share UNDERWRITING AGREEMENTUnderwriting Agreement • July 1st, 2015 • Nn Inc • Ball & roller bearings • New York
The undersigned understands that you, as Representative (the “Representative”), propose to enter into an Underwriting Agreement (the “Underwriting Agreement”) with NN, Inc., a Delaware corporation (the “Company”), providing for a public offering (the “Offering”) of shares of the common stock of the Company, $.01 par value per share (the “Common Stock”). The undersigned recognizes that the Offering will be of benefit to the undersigned and will benefit the Company. The undersigned acknowledges that the Company, you and the other Underwriters will proceed with the Offering in reliance on this Lock-Up Letter Agreement.
Keryx Biopharmaceuticals, Inc. 9,166,667 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • January 27th, 2015 • Keryx Biopharmaceuticals Inc • Pharmaceutical preparations • New York
Keryx Biopharmaceuticals, Inc., 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 (collectively, the “Underwriters”) for whom J.P. Morgan Securities LLC is acting as representative (the “Representative”), an aggregate of 9,166,667 shares (the “Underwritten Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”) and, at the option of the Underwriters, up to an additional 1,375,000 shares of Common Stock (the “Option Shares” and, together with the Underwritten Shares, the “Shares”).
Keryx Biopharmaceuticals, Inc. 6,900,000 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • January 28th, 2014 • Keryx Biopharmaceuticals Inc • Pharmaceutical preparations • New York
Keryx Biopharmaceuticals, Inc., 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 (collectively, the “Underwriters”) for whom J.P. Morgan Securities LLC is acting as representative (the “Representative”), an aggregate of 6,900,000 shares (the “Underwritten Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”) and, at the option of the Underwriters, up to an additional 1,035,000 shares of Common Stock (the “Option Shares” and, together with the Underwritten Shares, the “Shares”).
4,375,000 Shares MEI PHARMA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 29th, 2013 • MEI Pharma, Inc. • Pharmaceutical preparations • New York
MEI Pharma, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (collectively, the “Underwriters”) for whom you are acting as representatives (the “Representatives”), an aggregate of 4,375,000 shares (the “Firm Shares”) of common stock, par value $0.00000002 per share, of the Company (the “Common Stock”). The Company also proposes to sell to the several Underwriters, for the sole purpose of covering over-allotments in connection with the sale of the Firm Shares, at the option of the Underwriters, up to an additional 656,250 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
—] Shares General Finance Corporation [—]% Series C Cumulative Redeemable Perpetual Preferred Stock ($0.0001 par value per share) Underwriting AgreementUnderwriting Agreement • April 26th, 2013 • General Finance CORP • Retail-retail stores, nec • New York
General Finance Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell an aggregate of [—] shares (the “Firm Shares”) of its [—]% Series C Cumulative Redeemable Perpetual Preferred Stock, $0.0001 par value per share, liquidation preference $100.00 per share (the “Series C Preferred Shares”), to the underwriters listed on Schedule I hereto (the “Underwriters”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to [—] additional shares of Series C Preferred Shares (the “Optional Shares”). The Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are collectively called the “Shares.”
Keryx Biopharmaceuticals, Inc. 8,234,000 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • February 5th, 2013 • Keryx Biopharmaceuticals Inc • Pharmaceutical preparations • New York
Keryx Biopharmaceuticals, Inc., 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 (collectively, the “Underwriters”) for whom J.P. Morgan Securities LLC is acting as representative (the “Representative”), an aggregate of 8,234,000 shares (the “Underwritten Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”) and, at the option of the Underwriters, up to an additional 1,235,100 shares of Common Stock (the “Option Shares” and, together with the Underwritten Shares, the “Shares”).
DURECT CORPORATION 14,000,000 Shares Common Stock ($0.0001 par value) Underwriting AgreementUnderwriting Agreement • December 6th, 2012 • Durect Corp • Pharmaceutical preparations • New York
Durect Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriter named in Schedule I hereto (the “Underwriter”) an aggregate of 14,000,000 shares (the “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”).
4,000,000 Shares PERNIX THERAPEUTICS HOLDINGS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 21st, 2011 • Pernix Therapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Pernix Therapeutics Holdings, Inc., a Maryland corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (collectively, the “Underwriters”) for whom you are acting as representative (the “Representative”), and certain shareholders of the Company named in Schedule II hereto (the “Selling Shareholders”) severally propose to sell to the several Underwriters, an aggregate of 4,000,000 shares (the “Shares”) of common stock, par value $0.01 per share, of the Company (the “Common Stock”), of which 3,000,000 shares are to be issued and sold by the Company and 1,000,000 shares are to be sold by the Selling Shareholders in the respective amounts set forth opposite their respective names in Schedule II hereto.
7,021,277 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • May 9th, 2011 • Keryx Biopharmaceuticals Inc • Pharmaceutical preparations • New York
Keryx Biopharmaceuticals, Inc., 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 (collectively, the “Underwriters”) for whom Stifel, Nicolaus & Company, Incorporated is acting as representative (the “Representative”), an aggregate of 7,021,277 shares (the “Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”).
Corcept Therapeutics Incorporated 10,000,000 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • January 21st, 2011 • Corcept Therapeutics Inc • Pharmaceutical preparations • New York
Corcept Therapeutics Incorporated, 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 (collectively, the “Underwriters”), for whom Stifel, Nicolaus & Company, Incorporated and Leerink Swann LLC are acting as representatives (the “Representatives”), an aggregate of 10,000,000 shares (the “ Firm Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”). The Company also proposes to sell to the several Underwriters, for the sole purpose of covering over-allotments in connection with the sale of the Firm Shares, at the option of the Underwriters, up to an additional 1,500,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
Aastrom Biosciences, Inc. 10,000,000 Shares Warrants to Purchase 10,000,000 Shares Common Stock (no par value) UNDERWRITING AGREEMENTUnderwriting Agreement • December 10th, 2010 • Aastrom Biosciences Inc • Biological products, (no disgnostic substances) • New York
Stifel, Nicolaus & Company, Incorporated As Representative of the several Underwriters One Montgomery Street Suite 3700 San Francisco, California 94104
OncoGenex Pharmaceuticals, Inc. 3,174,602 Shares Warrants to Purchase 1,587,301 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • October 19th, 2010 • Oncogenex Pharmaceuticals, Inc. • In vitro & in vivo diagnostic substances • New York
OncoGenex Pharmaceuticals, Inc., 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 (collectively, the “Underwriters”), for whom Stifel, Nicolaus & Company, Incorporated is acting as representative (the “Representative”), an aggregate of 3,174,602 units (the “Units”), with each Unit consisting of (i) one share of common stock, par value $0.001, of the Company (the “Common Stock”), and (ii) one-half (1/2) of a warrant in the form attached hereto as Exhibit E. Each whole warrant (a “Warrant”) will entitle the holder to purchase one share of Common Stock (a “Warrant Share”).
2,200,000 Shares 330,000 Overallotment Shares MELA SCIENCES, INC. Common Stock (par value $0.001 per share) UNDERWRITING AGREEMENTUnderwriting Agreement • June 30th, 2010 • Mela Sciences, Inc. /Ny • Surgical & medical instruments & apparatus • New York
MELA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this underwriting agreement (this “Agreement”), to issue and sell to Needham & Company, LLC (“Needham”) and Leerink Swann LLC (“Leerink”, together with Needham, the "Underwriters”), and the Underwriters severally agree to purchase, subject to the terms and conditions stated in this Agreement, an aggregate of 2,200,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”) as set forth in Schedule III hereto. The Shares (as hereinafter defined) are more fully described in the Registration Statement (as hereinafter defined). The Company also proposes to grant to the Underwriters, subject to the terms and conditions stated in this Agreement, an option to purchase up to an additional 330,000 shares of Common Stock (the “Option Shares”) on the terms and for the purposes set forth in Section 1 hereof. The Firm Shares and the O
Corcept Therapeutics Incorporated 5,000,000 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • June 25th, 2010 • Corcept Therapeutics Inc • Pharmaceutical preparations • New York
Corcept Therapeutics Incorporated, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriter named in Schedule I hereto (the “Underwriter”) an aggregate of 5,000,000 shares (the “Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”).
Active Power, Inc. 13,229,500 Shares Common Stock ($0.001 par value) Underwriting AgreementUnderwriting Agreement • February 22nd, 2010 • Active Power Inc • Electric services • New York
Active Power, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriter named in Schedule I hereto (the “Underwriter”) an aggregate of 13,229,500 shares (the “Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”).
60,000,000 Shares NEW YORK COMMUNITY BANCORP, INC. Common Stock UNDERWRITING AGREEMENT (the “Agreement”)Underwriting Agreement • December 11th, 2009 • New York Community Bancorp Inc • Savings institutions, not federally chartered • New York
New York Community Bancorp, Inc., a Delaware corporation (the “Company”), agrees with the several Underwriters named in Schedule I hereto (the “Underwriters”), for whom Credit Suisse Securities (USA) LLC (“Credit Suisse”) is acting as representative (in such capacity, the “Representative”), subject to the terms and conditions stated herein, to issue and sell (the “Offering”) to the Underwriters, acting severally and not jointly, an aggregate of 60,000,000 shares of its Common Stock, par value $0.01 per share (the “Common Stock”). The aggregate of 60,000,000 shares of Common Stock to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to issue and sell to the Underwriters, acting severally and not jointly, upon the terms and conditions stated herein, up to an additional 9,000,000 shares of Common Stock (the “Optional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Optional Shares are collectively referred
