Partial Unenforceability. The invalidity or unenforceability of any Section, paragraph or provision of this Agreement shall not affect the validity or enforceability of any other Section, paragraph or provision hereof. If any Section, paragraph or provision of this Agreement is for any reason determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable.
Partial Unenforceability. If any section, paragraph, clause or provision of this Agreement is for any reason determined to be invalid or unenforceable, such determination shall not affect the validity or enforceability of any other section, paragraph clause or provision hereof.
Partial Unenforceability. The invalidity or unenforceability of any Section, paragraph or provision of this Agreement shall not affect the validity or enforceability of any other Section, paragraph or provision hereof. If any Section, paragraph or provision of this Agreement is for any reason determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable. If the foregoing is in accordance with your understanding of our agreement, please sign and return to us the enclosed duplicate hereof, whereupon this letter and your acceptance shall represent a binding agreement among the Company, the Adviser, the Administrator and the Underwriters. Very truly yours, Gladstone Investment Corporation By: /s/ Xxxxx Xxxxxxxxx Name: Xxxxx Xxxxxxxxx Title: Chairman and Chief Executive Officer Gladstone Management Corporation By: /s/ Xxxxx Xxxxxxxxx Name: Xxxxx Xxxxxxxxx Title: Chief Executive Officer Gladstone Administration LLC By: /s/ Xxxxxxx X. XxXxxxx Name: Xxxxxxx X. XxXxxxx Title: President The foregoing Agreement is hereby confirmed and accepted as of the date first-written above. Xxxxxx Xxxxxxxxxx Xxxxx LLC: By: /s/ Xxxx Xxxxxx Name: Xxxx Xxxxxx Title: Vice President For itself and as Representative of the Underwriters named in Exhibit A hereto [Signature Page to GAIN-Janney Underwriting Agreement] EXHIBIT A UNDERWRITERS Name of Underwriter Number of Initial Securities Xxxxxx Xxxxxxxxxx Xxxxx LLC 648,000 Sterne, Agee & Xxxxx, Inc. 244,800 BB&T Capital Markets, a division of BB&T Securities, LLC 72,000 J.J.B. Xxxxxxxx, X.X. Xxxxx, LLC 201,600 Xxxxxxxxxx Securities, Inc. 201,600 Ladenburg Xxxxxxxx & Co. Inc. 72,000 Total 1,440,000 EXHIBIT B PRICE-RELATED INFORMATION Number of Initial Securities: 1,440,000 Number of Option Securities: 216,000 Per Share Public offering price $ 25.000 Sales load (underwriting discounts and commissions) $ 0.875 Proceeds to the Company, before expenses $ 24.125 Dividend Yield: 6.75 % Pricing Date: November 5, 2014 Closing Date (T+5): November 13, 2014 Liquidation Preference: $ 25.00 per share plus accumulated and unpaid dividends Mandatory Redemption Date December 31, 2021 Net proceeds after payment of underwriting discounts and commissions and estimated expenses of the offering payable by the Company will be approximately $34.5 million. EXHIBIT C FORM OF LOCK-UP AGREEMENT Xxxxxx Xxxxxxxxxx Xxxxx LLC As representative of the several underwriters named in E...
Partial Unenforceability. The invalidity or unenforceability of any section, paragraph or provision of this Agreement shall not affect the validity or enforceability of any other section, paragraph or provision hereof. If any Section, paragraph or provision of this Agreement is for any reason determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable. In acknowledgment that the foregoing correctly sets forth the understanding reached by Xxxxxx and the Company, and intending to be legally bound, please sign in the space provided below, whereupon this letter shall constitute a binding Agreement as of the date executed. Very truly yours, ASCENT SOLAR TECHNOLOGIES, INC. By:__________________________ Name: Title: Confirmed as of the date first written above: XXXXXX XXXXX SECURITIES, INC. By:___________________________ Name: Xxxxxx X. Xxxxxx, Xx. Title: Chief Executive Officer SCHEDULE I Issuer General Use Free Writing Prospectuses
Partial Unenforceability. 25 SECTION 16.
Partial Unenforceability. The invalidity or unenforceability of any section, paragraph or provision of this Agreement shall not affect the validity or enforceability of any other section, paragraph or provision hereof. If any Section, paragraph or provision of this Agreement is for any reason determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable. In acknowledgment that the foregoing correctly sets forth the understanding reached by FT Global and the Company, and intending to be legally bound, please sign in the space provided below, whereupon this letter shall constitute a binding Agreement as of the date executed. Very truly yours, MingZhu Logistics Holdings Limited By: Name: Title: Confirmed as of the date first written above: FT GLOBAL CAPITAL, INC. By: Name: Xxxxxxx Xx Title: President SCHEDULE I Issuer General Use Free Writing Prospectuses None. Exhibit A Lock-Up Agreement _________________, 2021 FT Global Capital, Inc. 0 Xxxxxxxxx Xxxxxxx, Xxxxx 0000 Xxxxxxx, XX, 00000 Attention: President Ladies and Gentlemen: The undersigned understands that FT Global Capital, Inc. (the “Placement Agent”) proposes to enter into a Placement Agency Agreement (the “Agreement”) with MingZhu Logistics Holdings Limited, a Cayman Islands company (the “Company”), providing for the public offering (the “Public Offering”) of securities of the Company, including Ordinary Shares (the “Shares”) of the Company (the “Ordinary Shares”). To induce the Placement Agent to continue its efforts in connection with the Public Offering, the undersigned hereby agrees that, without the prior written consent of the Placement Agent, the undersigned will not, during the period commencing on the date hereof and ending 90 days after the date of the final prospectus (the “Prospectus”) relating to the Public Offering (the “Lock-Up Period”), (1) offer, pledge, sell, contract to sell, grant, lend, or otherwise transfer or dispose of, directly or indirectly, any Ordinary Shares, any securities convertible into or exercisable or exchangeable for Ordinary Shares, whether now owned or hereafter acquired by the undersigned or with respect to which the undersigned has or hereafter acquires the power of disposition (collectively, the “Lock-Up Securities”); (2) enter into any swap or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of the Lock-Up Secur...
Partial Unenforceability. The invalidity or unenforceability of any Section, paragraph or provision of this Agreement shall not affect the validity or enforceability of any other Section, paragraph or provision hereof. If any Section, paragraph or provision of this Agreement is for any reason determined to be invalid or unenforceable, there shall be deemed to be made such minor changes (and only such minor changes) as are necessary to make it valid and enforceable. Exhibit 1.1 If the foregoing is in accordance with your understanding of our agreement, please sign and return to us the enclosed duplicate hereof, whereupon this letter and your acceptance shall represent a binding agreement among the Company, the Adviser and the Underwriters. Very truly yours, Great Elm Capital Corp. By: /s/ Xxxxx X. Xxxx Name: Xxxxx X. Xxxx Title: Chief Executive Officer Great Elm Capital Management, Inc. By: /s/ Xxxxx X. Xxxx Name: Xxxxx X. Xxxx Title: Chief Investment Officer The foregoing Agreement is hereby confirmed and accepted as of the date first-written above. Xxxxxx Xxxxxxxxxx Xxxxx LLC By: /s/ Xxxx Xxxxxx Name: Xxxx Xxxxxx Title: Director For itself and as Representative of the Underwriters named in Exhibit A hereto EXHIBIT A UNDERWRITERS Name of Underwriter Aggregate Principal Amount of Initial Securities Xxxxxx Xxxxxxxxxx Xxxxx LLC $10,640,625 Ladenburg Xxxxxxxx & Co. Inc.. 9,221,875 Xxxxxxxxxxx & Co. Inc 4,965,625 Xxxxxxx Xxxxx & Company, L.L.C. 3,546,875 Total $28,375,000 EXHIBIT B PRICE-RELATED INFORMATION Aggregate Principal Amount of Initial Securities: $28,375,000 Aggregate Principal Amount of Option Securities: $4,256,250 Public offering price 100.000% Sales load (underwriting discounts and commissions) 3.125% Proceeds to the Company, before expenses 96.875% Pricing Date: September 13, 2017 Closing Date (T+3): September 18, 2017 Interest Rate 6.50% No Call Period Closing Date through September 18, 2019 Stated Maturity September 18, 2022 Exhibit 6(f) – Officers’ Certificates
Partial Unenforceability. The invalidity or unenforceability of any section, paragraph, clause or provision of this Agreement shall not affect the validity or enforceability of any other section, paragraph, clause or provision. Upon such determination that any term or other provision is invalid, illegal or unenforceable, the parties hereto shall negotiate in good faith to modify this Agreement so as to effect the original intent of the parties as closely as possible in a mutually acceptable manner.
Partial Unenforceability. If any term, provision, covenant or restriction of this Agreement is held by a court of competent jurisdiction to be invalid, illegal, void or unenforceable, the remainder of the terms, provisions, covenants and restrictions set forth herein shall remain in full force and effect and shall in no way be affected, impaired or invalidated, and the parties hereto shall use their reasonable best efforts to find and employ an alternative means to achieve the same or substantially the same result as that contemplated by such term, provision, covenant or restriction.
Partial Unenforceability. 24 SECTION 15.
