AT-THE-MARKET ISSUANCE SALES AGREEMENT, DATED OCTOBER 8, 2012, BY AND BETWEEN GERON CORPORATION AND MLV & CO. LLC. Common Stock (par value $0.001 per share)Market Issuance Sales Agreement • October 9th, 2012 • Geron Corp • Pharmaceutical preparations • New York
Geron Corporation, a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with MLV & Co. LLC (“MLV”), as follows:
NEONODE INC. Common Stock (par value $0.001 per share)Market Issuance Sales Agreement • May 10th, 2021 • Neonode Inc. • Electronic components, nec • New York
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • March 7th, 2024 • Cherry Hill Mortgage Investment Corp • Real estate investment trusts
Cherry Hill Mortgage Investment Corporation (the “Company”) and JMP Securities LLC (the “Agent”) are parties to that certain At Market Issuance Sales Agreement, dated August 31, 2018 (the “Original Agreement”). All capitalized terms not defined in this Amendment No. 1 to At Market Issuance Sales Agreement (this “Amendment”) shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows:
AETERNA ZENTARIS INC. Common Shares At Market Issuance Sales AgreementMarket Issuance Sales Agreement • April 28th, 2017 • Aeterna Zentaris Inc. • Pharmaceutical preparations • New York
Aeterna Zentaris Inc. (the “Company”), a corporation formed under the Canada Business Corporations Act (the “CBCA”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (“Wainwright”), as follows:
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • June 2nd, 2020 • Eagle Point Income Co Inc.
This Amendment No. 1 (this “Amendment”) to that certain At Market Issuance Sales Agreement, dated as of November 22, 2019 (the “Original Agreement”), by and among Eagle Point Income Company Inc., a Delaware corporation (the “Company”), Eagle Point Income Management LLC, a Delaware limited liability company (the “Investment Adviser”), and Eagle Point Administration LLC, a Delaware limited liability company (the “Administrator”), and B. Riley FBR, Inc., (“BRFBR”) and National Securities Corporation (“National,” each a “Placement Agent” and collectively, the “Placement Agents”), is entered into as of June 1, 2020, by and among the Company, the Investment Adviser, the Administrator and the Placement Agents. Capitalized terms used but not defined herein shall have the meanings assigned to them in the Original Agreement.
EAGLE POINT INCOME COMPANY INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE 5.00% SERIES A TERM PREFERRED STOCK DUE 2026 7.75% SERIES B TERM PREFERRED STOCK DUE 2028 THIRD AMENDED AND RESTATED AT MARKET ISSUANCE SALES AGREEMENT DATED AUGUST 21, 2023Market Issuance Sales Agreement • September 6th, 2023 • Eagle Point Income Co Inc. • New York
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • December 27th, 2021 • Cumberland Pharmaceuticals Inc • Pharmaceutical preparations • New York
AMENDMENT NO. 2 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • November 7th, 2022 • Cherry Hill Mortgage Investment Corp • Real estate investment trusts • New York
Reference is made to that certain At Market Issuance Sales Agreement, dated August 31, 2018 (the “Original Agreement”), by and between Cherry Hill Mortgage Investment Corporation (the “Company”) and JMP Securities LLC (the “Agent”), as amended by Amendment No. 1 to At Market Issuance Sales Agreement, dated August 25, 2021 (“Amendment No. 1” and, together with the Original Agreement, the “Agreement”), by and between the Company and the Agent, pursuant to which the Company agreed to sell through the Agent, shares of common stock, par value $0.01 per share, of the Company, not exceeding the Maximum Amount. All capitalized terms not defined in this Amendment No. 2 to At Market Issuance Sales Agreement (this “Amendment”) shall have the meanings ascribed to them in the Agreement. The parties, intending to be legally bound, hereby amend the Agreement as follows:
First Amendment to At the Market Issuance Sales AgreementMarket Issuance Sales Agreement • August 21st, 2023 • Quantum Computing Inc. • Services-prepackaged software
This First Amendment to At the Market Issuance Sales Agreement (this “Amendment”) is entered into on ___, 2023 (the “Effective Date”) by and between Ascendiant Capital Markets, LLC (the “Agent”), and Quantum Computing, Inc. (the “Company”). Defined terms used herein have the definitions assigned to them in the At the Market Issuance Sales Agreement between the parties dated December 5, 2022 (the “Offering Agreement”). Unless specifically amended or modified herein, the other terms of the Offering Agreement remain in full force and effect, not amended or modified, as of the date hereof.
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • March 28th, 2017 • Asterias Biotherapeutics, Inc. • Biological products, (no disgnostic substances) • New York
Asterias Biotherapeutics, Inc. (the “Company”), and MLV & Co. LLC (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated April 10, 2015 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, together with FBR Capital Markets & Co. (“FBR”), intending to be legally bound, hereby amend the Original Agreement as follows:
AMENDMENT NO. 1 TO AMENDED AND RESTATED AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • May 8th, 2020 • MONROE CAPITAL Corp
This Amendment No. 1 (this “Amendment”) to that certain Amended and Restated At Market Issuance Sales Agreement, dated as of May 12, 2017 (the “Original Agreement”), by and among Monroe Capital Corporation, a Maryland corporation (the “Company”), Monroe Capital BDC Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Monroe Capital Management Advisors, LLC, a Delaware limited liability company (the “Administrator”), and B. Riley FBR, Inc., as successor by merger to FBR Capital Markets & Co. (the “Agent”), is entered into as of May 8, 2020, by and between the Company and the Agent. Capitalized terms used but not defined herein shall have the meanings assigned to them in the Original Agreement.
AMENDMENT No. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • July 6th, 2009 • Valence Technology Inc • Miscellaneous electrical machinery, equipment & supplies • New York
THIS AMENDMENT No. 1 TO AT MARKET ISSUANCE SALES AGREEMENT (the “Amendment”) is entered into effective as of the 2nd day of July, 2009 (the “Amendment Effective Date”), by and between Valence Technology, Inc., a Delaware corporation (the “Company”), and Wm Smith & Co. (“Wm Smith”). Capitalized terms used herein but not defined herein shall have the meanings ascribed to such terms in the At Market Sales Issuance Agreement dated February 22, 2008 by and between the Company and Wm Smith (the “Sales Agreement”).
Second Amendment to At the Market Issuance Sales AgreementMarket Issuance Sales Agreement • March 29th, 2024 • Verb Technology Company, Inc. • Services-personal services
This Second Amendment to At the Market Issuance Sales Agreement (this “Amendment”) is entered into on March 29, 2024 (the “Effective Date”) by and between Ascendiant Capital Markets, LLC (the “Agent”), and Verb Technology Company, Inc. (the “Company”). Defined terms used herein have the definitions assigned to them in the At the Market Issuance Sales Agreement between the parties dated December 15, 2023 (the “Offering Agreement”). Unless specifically amended or modified herein, the other terms of the Offering Agreement remain in full force and effect, not amended or modified, as of the date hereof.
AMENDMENT NO. 1 TO AT-THE-MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • April 5th, 2017 • Oramed Pharmaceuticals Inc. • Pharmaceutical preparations • New York
Oramed Pharmaceuticals Inc. (the “Company”), and MLV & Co. LLC (“MLV”), are parties to that certain At-the-Market Issuance Sales Agreement dated April 2, 2015 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. Whereas MLV desires to resign as sales agent and the Company desires to appoint FBR Capital Markets & Co. (“FBR”) as sales agent, the parties, intending to be legally bound, hereby amend the Original Agreement as follows:
AMENDMENT NO. 2 TO AMENDED AND RESTATED AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • July 20th, 2023 • Ur-Energy Inc • Gold and silver ores • New York
AMENDMENT No. 2 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • December 30th, 2010 • Valence Technology Inc • Miscellaneous electrical machinery, equipment & supplies • New York
THIS AMENDMENT No. 2 TO AT MARKET ISSUANCE SALES AGREEMENT (the “Amendment”) is entered into effective as of the 30th day of December, 2010 (the “Amendment Effective Date”), by and between Valence Technology, Inc., a Delaware corporation (the “Company”), and Wm Smith & Co. (“Wm Smith”). Capitalized terms used herein but not defined herein shall have the meanings ascribed to such terms in the At Market Sales Issuance Agreement dated February 22, 2008 by and between the Company and Wm Smith, as amended by Amendment No. 1 effective July 2, 2009 (the “Sales Agreement”).
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • February 23rd, 2024 • Plug Power Inc • Electrical industrial apparatus
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • October 4th, 2022 • Greenidge Generation Holdings Inc. • Services-computer processing & data preparation • New York
AMENDMENT No. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • May 31st, 2012 • Oxigene Inc • Biological products, (no disgnostic substances) • New York
THIS AMENDMENT No. 1 TO AT MARKET ISSUANCE SALES AGREEMENT (the “Amendment”) is entered into effective as of May 31, 2012 (the “Amendment Effective Date”), by and between OXiGENE, Inc., a Delaware corporation (the “Company”), and McNicoll, Lewis & Vlak LLC, a Delaware limited liability company (“MLV”). Capitalized terms used herein but not defined herein shall have the meanings ascribed to such terms in the At Market Sales Issuance Agreement dated July 21, 2010 by and between the Company and MLV (the “Sales Agreement”).
AMENDMENT No. 3 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • January 24th, 2011 • Valence Technology Inc • Miscellaneous electrical machinery, equipment & supplies • New York
THIS AMENDMENT No. 3 TO AT MARKET ISSUANCE SALES AGREEMENT (the “Amendment”) is entered into effective as of the 22nd day of January, 2011 (the “Amendment Effective Date”), by and between Valence Technology, Inc., a Delaware corporation (the “Company”), and Wm Smith & Co., a Colorado corporation (“Wm Smith”). Capitalized terms used herein but not defined herein shall have the meanings ascribed to such terms in the At Market Sales Issuance Agreement dated February 22, 2008 by and between the Company and Wm Smith, as amended by Amendment No. 1 effective July 2, 2009 and Amendment No. 2 effective December 30, 2010 (as amended, the “Sales Agreement”).
AMENDMENT NO. 1 TO AMENDED AND RESTATED AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • December 10th, 2020 • Heat Biologics, Inc. • Pharmaceutical preparations • New York
AMENDMENT NO. 2 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • December 16th, 2020 • Alterity Therapeutics LTD • Pharmaceutical preparations • New York
Alterity Therapeutics Limited (formerly Prana Biotechnology Ltd) (the “Company”), B. Riley Securities, Inc. (formerly B. Riley FBR, Inc. (successor by merger to FBR Capital Markets & Co.)) (“B. Riley”) and JonesTrading Institutional Services LLC (“JonesTrading” and together with B. Riley, the “Agents”) are parties to that certain At Market Issuance Sales Agreement dated October 13, 2016, as amended on November 8, 2017 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows:
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • September 20th, 2013 • Wave Systems Corp • Computer peripheral equipment, nec • New York
Wave Systems Corp., a Delaware corporation (the “Company”), and MLV & Co. LLC, a Delaware limited liability company (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated January 30, 2012 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows (to be effective as set forth in paragraph 4 below):
First Amendment to At the Market Issuance Sales AgreementMarket Issuance Sales Agreement • March 19th, 2024 • Verb Technology Company, Inc. • Services-personal services
This First Amendment to At the Market Issuance Sales Agreement (this “Amendment”) is entered into on March 19, 2024 (the “Effective Date”) by and between Ascendiant Capital Markets, LLC (the “Agent”), and Verb Technology Company, Inc. (the “Company”). Defined terms used herein have the definitions assigned to them in the At the Market Issuance Sales Agreement between the parties dated December 15, 2023 (the “Offering Agreement”). Unless specifically amended or modified herein, the other terms of the Offering Agreement remain in full force and effect, not amended or modified, as of the date hereof.
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • July 12th, 2013 • Coronado Biosciences Inc • Pharmaceutical preparations • New York
Coronado Biosciences, Inc., a Delaware corporation (the “Company”), and MLV & Co. LLC, a Delaware limited liability company (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated April 29, 2013 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows (to be effective as set forth in paragraph 4 below):
AMENDMENT TO AT-THE-MARKET ISSUANCE SALES AGREEMENT DATED JUNE 9, 2023Market Issuance Sales Agreement • July 13th, 2023 • Ault Alliance, Inc. • Electronic components, nec
This amendment (the “Amendment”) to the At-The-Market Issuance Sales Agreement dated June 9, 2023 (the “Agreement”), entered into by and between Ault Alliance, Inc., a Delaware corporation (the “Company”), and Ascendiant Capital Markets, LLC (the “Agent”) is dated July 12, 2023. All capitalized terms in this Amendment and not defined herein shall have the meanings ascribed to such terms in the Agreement.
First Amendment to At the Market Issuance Sales AgreementMarket Issuance Sales Agreement • December 13th, 2012 • Synta Pharmaceuticals Corp • Pharmaceutical preparations
Reference is made to the At the Market Issuance Sales Agreement by and between MLV & Co. LLC (“MLV”) and Synta Pharmaceuticals Corp. (the “Company”), dated May 2, 2012 (the “Agreement”). The parties, intending to be legally bound, hereby amend the Agreement as follows:
At Market Issuance Sales Agreement, dated September 4, 2020, by and between Geron Corporation and B. Riley Securities, Inc. GERON CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementMarket Issuance Sales Agreement • September 4th, 2020 • Geron Corp • Pharmaceutical preparations • New York
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • August 26th, 2022 • Medicinova Inc • Pharmaceutical preparations • New York
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • November 29th, 2013 • Aastrom Biosciences Inc • Biological products, (no disgnostic substances) • New York
Aastrom Biosciences, Inc., a Michigan corporation (the “Company”), and McNicoll, Lewis & Vlak LLC (n/k/a MLV & Co. LLC) (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated June 16, 2011 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows:
TELLURIAN INC.Market Issuance Sales Agreement • December 17th, 2021 • Tellurian Inc. /De/ • Crude petroleum & natural gas • New York
The Placement Notes will be issued to Cede & Co., as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations to be dated on or prior to the date hereof between the Company and DTC. The Indenture will be qualified under the Trust Indenture Act of 1939, as amended (the “Trust Indenture Act”).
NOVAVAX, INC. Common Stock (par value $0.01 per share) AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • August 8th, 2023 • Novavax Inc • Biological products, (no disgnostic substances) • New York
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • April 23rd, 2020 • Heat Biologics, Inc. • Pharmaceutical preparations • New York
AMENDMENT NO. 1 TO AMENDED AND RESTATED AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • May 8th, 2020 • MONROE CAPITAL Corp
This Amendment No. 1 (this “Amendment”) to that certain Amended and Restated At Market Issuance Sales Agreement, dated as of May 12, 2017 (the “Original Agreement”), by and among Monroe Capital Corporation, a Maryland corporation (the “Company”), Monroe Capital BDC Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Monroe Capital Management Advisors, LLC, a Delaware limited liability company (the “Administrator”), and JMP Securities LLC (the “Agent”), is entered into as of May 8, 2020, by and between the Company and the Agent. Capitalized terms used but not defined herein shall have the meanings assigned to them in the Original Agreement.
AMENDMENT NO. 1 TO AT MARKET ISSUANCE SALES AGREEMENTMarket Issuance Sales Agreement • March 21st, 2014 • Galectin Therapeutics Inc • Pharmaceutical preparations • New York
Galectin Therapeutics, Inc., a Nevada corporation (the “Company”), and MLV & Co. LLC, a Delaware limited liability company (“MLV”), are parties to that certain At Market Issuance Sales Agreement dated October 25, 2013 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties, intending to be legally bound, hereby amend the Original Agreement as follows (to be effective as set forth in paragraph 4 below):
