IROBOT CORPORATION Common Stock ($0.01 par value) ATM EQUITY OFFERINGSM SALES AGREEMENTTerms Agreement • February 27th, 2024 • Irobot Corp • Household appliances • New York
Contract Type FiledFebruary 27th, 2024 Company Industry JurisdictioniRobot Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through BofA Securities, Inc. (“BofA”), as sales agent and/or principal (the “Agent”), shares (the “Shares”) of the Company’s common stock, $0.01 par value (the “Common Stock”), having an aggregate gross sales price of not to exceed $100,000,000, on the terms set forth in this ATM Equity OfferingSM Sales Agreement. The Company agrees that whenever it determines to sell Shares directly to the Agent as principal it will enter into a separate written Terms Agreement (each, a “Terms Agreement”), in substantially the form of Annex I hereto, relating to such sale in accordance with Section 2(k) hereof. References herein to “this Agreement” or to matters contained “herein” or “hereunder”, or words of similar import, mean this ATM Equity Offering SM Sales Agreement and any applicable Terms Agreement.
MEI PHARMA, INC. Common Stock ($0.00000002 par value per share) Capital on Demand™ Sales AgreementTerms Agreement • February 21st, 2024 • MEI Pharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledFebruary 21st, 2024 Company Industry Jurisdiction
STIFEL NICOLAUS MASTER FORM ATM SALES AGREEMENT ARCELLX, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • May 8th, 2023 • Arcellx, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledMay 8th, 2023 Company Industry JurisdictionArcellx, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $350,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement” and such shares of Common Stock sold hereunder, the “Shares”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
AT THE MARKET OFFERING AGREEMENTTerms Agreement • February 27th, 2023 • Protalix BioTherapeutics, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledFebruary 27th, 2023 Company Industry JurisdictionProtalix BioTherapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through H.C. Wainwright & Co., LLC, as sales agent and/or principal (the “Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value (the “Common Stock”), having an aggregate gross sales price not to exceed $20,000,000, on the terms set forth in this At The Market Offering Agreement.
Capital on Demand™ Sales AgreementTerms Agreement • March 15th, 2022 • aTYR PHARMA INC • Biological products, (no disgnostic substances) • New York
Contract Type FiledMarch 15th, 2022 Company Industry Jurisdiction
AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • August 25th, 2021 • PHX Minerals Inc. • Crude petroleum & natural gas • New York
Contract Type FiledAugust 25th, 2021 Company Industry JurisdictionPHX Minerals Inc. (formerly known as Panhandle Oil and Gas Inc.), an Oklahoma corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), up to 3,000,000 shares (the “Shares”) of the Company’s Class A common stock, $0.01666 par value per share (the “Common Stock”) on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex 1 hereto, relating to such sale in accordance with Section 3 of this Agreement.
AT THE MARKET OFFERING AGREEMENTTerms Agreement • July 2nd, 2021 • Protalix BioTherapeutics, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledJuly 2nd, 2021 Company Industry Jurisdiction
Express, Inc. Common Stock ($0.01 par value) ATM EQUITY OFFERINGSM SALES AGREEMENTTerms Agreement • June 3rd, 2021 • Express, Inc. • Retail-apparel & accessory stores • New York
Contract Type FiledJune 3rd, 2021 Company Industry JurisdictionExpress, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through BofA Securities, Inc., as sales agent and/or principal (the “Agent”), shares (the “Shares”) of the Company’s common stock, $0.01 par value (the “Common Stock”), for up to 15,000,000 shares of Common Stock, on the terms set forth in this ATM Equity OfferingSM Sales Agreement. The Company agrees that whenever it determines to sell Shares directly to the Agent as principal it will enter into a separate written Terms Agreement (each, a “Terms Agreement”), in substantially the form of Annex I hereto, relating to such sale in accordance with Section 2(k) hereof. References herein to “this Agreement” or to matters contained “herein” or “hereunder”, or words of similar import, mean this ATM Equity Offering SM Sales Agreement and any applicable Terms Agreement.
Capital on Demand™ Sales AgreementTerms Agreement • March 24th, 2021 • aTYR PHARMA INC • Biological products, (no disgnostic substances) • New York
Contract Type FiledMarch 24th, 2021 Company Industry Jurisdiction
KOPIN CORPORATION Common Stock (par value $0.01 per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • March 5th, 2021 • Kopin Corp • Semiconductors & related devices • New York
Contract Type FiledMarch 5th, 2021 Company Industry JurisdictionKopin Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
PULSE BIOSCIENCES, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • February 4th, 2021 • Pulse Biosciences, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledFebruary 4th, 2021 Company Industry JurisdictionPulse Biosciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $60,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
Capital on Demand™ Sales AgreementTerms Agreement • December 9th, 2020 • Tracon Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledDecember 9th, 2020 Company Industry Jurisdiction
OneSpaWorld Holdings Limited Common Shares ($0.0001 par value per share) AT- THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • December 7th, 2020 • ONESPAWORLD HOLDINGS LTD • Services-membership sports & recreation clubs • New York
Contract Type FiledDecember 7th, 2020 Company Industry JurisdictionOneSpaWorld Holdings Limited, an international business company incorporated under the laws of the Commonwealth of The Bahamas (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), the Company’s common shares (the “Shares”), $0.0001 par value per share (the “Common Shares”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
MEI PHARMA, INC. Common Stock ($0.00000002 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • November 10th, 2020 • MEI Pharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 10th, 2020 Company Industry JurisdictionMEI Pharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Credit Suisse Securities (USA) LLC and Stifel, Nicolaus & Company, Incorporated (each, an “Agent” and together, the “Agents”), as sales agents and/or principals, shares (the “Shares”) of the Company’s common stock, $0.00000002 par value per share (the “Common Stock”), having an aggregate offering price of up to $60,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to an Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
ATM EQUITY OFFERINGSM SALES AGREEMENTTerms Agreement • October 1st, 2020 • Protalix BioTherapeutics, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledOctober 1st, 2020 Company Industry JurisdictionProtalix BioTherapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through BofA Securities, Inc., as sales agent and/or principal (the “Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value (the “Common Stock”), having an aggregate gross sales price not to exceed $30,000,000, on the terms set forth in this ATM Equity OfferingSM Sales Agreement.
RESONANT INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • August 14th, 2020 • Resonant Inc • Semiconductors & related devices • New York
Contract Type FiledAugust 14th, 2020 Company Industry Jurisdiction
Turtle Beach Corporation Common Stock ($0.001 par value) ATM EQUITY OFFERINGSM SALES AGREEMENTTerms Agreement • August 7th, 2020 • Turtle Beach Corp • Communications equipment, nec • New York
Contract Type FiledAugust 7th, 2020 Company Industry JurisdictionTurtle Beach Corporation, a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through BofA Securities, Inc., as sales agent and/or principal (the “Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value (the “Common Stock”), having an aggregate gross sales price of not to exceed $30,000,000, on the terms set forth in this ATM Equity OfferingSM Sales Agreement. The Company agrees that whenever it determines to sell Shares directly to the Agent as principal it will enter into a separate written Terms Agreement (each, a “Terms Agreement”), in substantially the form of Annex I hereto, relating to such sale in accordance with Section 2(k) hereof. References herein to “this Agreement” or to matters contained “herein” or “hereunder”, or words of similar import, mean this ATM Equity Offering SM Sales Agreement and any applicable Terms Agreement.
CUE BIOPHARMA, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • June 22nd, 2020 • Cue Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledJune 22nd, 2020 Company Industry JurisdictionCue Biopharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $40,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
INOVIO PHARMACEUTICALS, INC. Common Stock ($0.001 par value per share) AT-THE- MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • April 3rd, 2020 • Inovio Pharmaceuticals, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledApril 3rd, 2020 Company Industry JurisdictionInovio Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”); provided, however, that in no event shall the Company issue or sell through the Agent such number of Shares that exceeds the Maximum Amount (as defined in Section 2(f)). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
CUE BIOPHARMA, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • March 27th, 2020 • Cue Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMarch 27th, 2020 Company Industry JurisdictionCue Biopharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $35,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
CUE BIOPHARMA, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • November 26th, 2019 • Cue Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 26th, 2019 Company Industry JurisdictionCue Biopharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $20,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
MOMENTA PHARMACEUTICALS, INC. Common Stock ($0.0001 par value per share) AT- THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • August 8th, 2019 • Momenta Pharmaceuticals Inc • Biological products, (no disgnostic substances) • New York
Contract Type FiledAugust 8th, 2019 Company Industry JurisdictionMomenta Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”), having an aggregate offering price of up to $100,000,000 on the terms set forth in Section 2 of this At-the-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
CUE BIOPHARMA, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • June 5th, 2019 • Cue Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledJune 5th, 2019 Company Industry JurisdictionCue Biopharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $30,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
KOPIN CORPORATION Common Stock (par value $0.01 per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • February 8th, 2019 • Kopin Corp • Semiconductors & related devices • New York
Contract Type FiledFebruary 8th, 2019 Company Industry JurisdictionKopin Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), having an aggregate offering price of up to $20,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
TRANSENTERIX, INC. Common Stock (par value $0.001 per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • December 28th, 2018 • Transenterix Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledDecember 28th, 2018 Company Industry JurisdictionTransEnterix, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), having an aggregate offering price of up to $75,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
Capital on Demand™ Sales AgreementTerms Agreement • September 7th, 2018 • Tracon Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledSeptember 7th, 2018 Company Industry Jurisdiction
Dova Pharmaceuticals, Inc. Common Stock ($0.001 par value per share) AT-THE- MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • July 27th, 2018 • Dova Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledJuly 27th, 2018 Company Industry Jurisdiction
ENDOLOGIX, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • May 31st, 2018 • Endologix Inc /De/ • Surgical & medical instruments & apparatus • New York
Contract Type FiledMay 31st, 2018 Company Industry JurisdictionEndologix, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3.
INOVIO PHARMACEUTICALS, INC. Common Stock ($0.001 par value per share) AT-THE- MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • May 25th, 2018 • Inovio Pharmaceuticals, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledMay 25th, 2018 Company Industry JurisdictionInovio Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $100,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
RA PHARMACEUTICALS, INC. Common Stock ($0.001 par value per share) AT-THE- MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • May 9th, 2018 • Ra Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMay 9th, 2018 Company Industry JurisdictionRa Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
XENON PHARMACEUTICALS INC. Common Shares AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • May 8th, 2018 • Xenon Pharmaceuticals Inc. • Pharmaceutical preparations • New York
Contract Type FiledMay 8th, 2018 Company Industry JurisdictionXenon Pharmaceuticals Inc., a corporation continued under the federal laws of Canada (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), common shares (the “Shares”) of the Company, no par value per Share, having an aggregate offering price of up to $30,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
SIENTRA, INC. Common Stock ($0.01 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • February 20th, 2018 • Sientra, Inc. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Contract Type FiledFebruary 20th, 2018 Company Industry JurisdictionSientra, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
GTX, INC. Common Stock ($0.001 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • February 9th, 2018 • GTX Inc /De/ • Pharmaceutical preparations • New York
Contract Type FiledFebruary 9th, 2018 Company Industry JurisdictionGTx, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000.00 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • November 13th, 2017 • Reata Pharmaceuticals Inc • Pharmaceutical preparations • New York
Contract Type FiledNovember 13th, 2017 Company Industry JurisdictionReata Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s Class A common stock, $0.001 par value per share (the “Common Stock”), having an aggregate offering price of up to $50,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
MEI PHARMA, INC. Common Stock ($0.00000002 par value per share) AT-THE-MARKET EQUITY OFFERING SALES AGREEMENTTerms Agreement • November 8th, 2017 • MEI Pharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 8th, 2017 Company Industry JurisdictionMEI Pharma, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.00000002 par value per share (the “Common Stock”), having an aggregate offering price of up to $30,000,000 on the terms set forth in Section 2 of this At-The-Market Equity Offering Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.