PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 21st, 2023 • Moleculin Biotech, Inc. • Pharmaceutical preparations • New York
Contract Type FiledDecember 21st, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 8th, 2023 • Biolase, Inc • Dental equipment & supplies • New York
Contract Type FiledDecember 8th, 2023 Company Industry JurisdictionThis letter agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and BIOLASE, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of shares of common stock (the “Shares”) of the Company, par value $0.001 per share (“Common Stock”), prefunded warrants to purchase Common Stock (the “Prefunded Warrants”), and warrants to purchase Common Stock (the “Warrants”, and collectively with the Shares and the Prefunded Warrants, the “Securities”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and, collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • August 9th, 2023 • Tivic Health Systems, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledAugust 9th, 2023 Company Industry JurisdictionThis agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (the “Placement Agent”) and Tivic Health Systems, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered shares (the “Securities”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement,
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 20th, 2023 • 1847 Holdings LLC • Services-management consulting services • New York
Contract Type FiledJuly 20th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 19th, 2023 • Tivic Health Systems, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJuly 19th, 2023 Company Industry JurisdictionThis agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (the “Placement Agent”) and Tivic Health Systems, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered shares (the “Securities”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement,
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 19th, 2023 • Brainstorm Cell Therapeutics Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledJuly 19th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 13th, 2023 • BioRestorative Therapies, Inc. • Services-misc health & allied services, nec • New York
Contract Type FiledJuly 13th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 11th, 2023 • Tivic Health Systems, Inc. • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJuly 11th, 2023 Company Industry JurisdictionThis agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (the “Placement Agent”) and Tivic Health Systems, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered shares (the “Securities”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement,
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 5th, 2023 • T Stamp Inc • Services-prepackaged software • New York
Contract Type FiledJune 5th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 18th, 2023 • T Stamp Inc • Services-prepackaged software • New York
Contract Type FiledApril 18th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 3rd, 2023 • Performance Shipping Inc. • Deep sea foreign transportation of freight • New York
Contract Type FiledMarch 3rd, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 24th, 2023 • Orgenesis Inc. • Pharmaceutical preparations • New York
Contract Type FiledFebruary 24th, 2023 Company Industry JurisdictionThis agreement (the “Agreement”) constitutes the agreement between Joseph Gunnar & Co., LLC (the “Placement Agent”) and Orgenesis Inc., a Nevada corporation (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of shares (the “Shares”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”) (or Pre-Funded Warrants in lieu of Common Stock, as applicable) and Warrants (collectively, the “Warrants”) to purchase shares of Common Stock (the shares of Common Stock underlying the Warrants, collectively with the Warrants and the Shares, the “Securities”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to
JOSEPH GUNNAR & CO., LLC PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 24th, 2023 • Adial Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledFebruary 24th, 2023 Company Industry JurisdictionThis agreement (the “Agreement”) constitutes the agreement between Joseph Gunnar & Co., LLC (the “Placement Agent”) and Adial Pharmaceuticals, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”), in one closing, of up to one million eight hundred twenty-nine thousand two hundred sixty nine (1,829,269) shares of common stock of the Company, par value $0.001 per share (the “Securities”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 15th, 2023 • SeqLL, Inc. • Laboratory analytical instruments • New York
Contract Type FiledFebruary 15th, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 3rd, 2023 • Wisa Technologies, Inc. • Semiconductors & related devices • New York
Contract Type FiledFebruary 3rd, 2023 Company Industry JurisdictionThis letter agreement (the “Agreement”) constitutes the agreement by and between Maxim Group LLC (“Maxim” or the “Placement Agent”) and WiSA Technologies, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), pursuant to which the Placement Agent shall serve as the placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) to certain purchasers (each, a “Purchaser” and collectively, the “Purchasers”) of registered common stock (the “Shares”) of the Company, par value $0.0001 per share (“Common Stock”), registered Pre-Funded Warrants to purchase Common Stock (the “Pre-Funded Warrants”) and unregistered warrants to purchase Common Stock (the “Warrants” and, and collectively with the Shares and Pre-Funded Warrants, the “Securities”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the Purchasers and nothing herein constitutes that the Place
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • January 31st, 2023 • AppTech Payments Corp. • Services-prepackaged software • New York
Contract Type FiledJanuary 31st, 2023 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 20th, 2022 • Inpixon • Services-computer programming services • New York
Contract Type FiledOctober 20th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 12th, 2022 • Siyata Mobile Inc. • Radiotelephone communications • New York
Contract Type FiledOctober 12th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 7th, 2022 • TRxADE HEALTH, INC • Wholesale-drugs, proprietaries & druggists' sundries • New York
Contract Type FiledOctober 7th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • August 17th, 2022 • Performance Shipping Inc. • Deep sea foreign transportation of freight • New York
Contract Type FiledAugust 17th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 26th, 2022 • Boxlight Corp • Services-educational services • New York
Contract Type FiledJuly 26th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 29th, 2022 • Biolase, Inc • Dental equipment & supplies • New York
Contract Type FiledJune 29th, 2022 Company Industry JurisdictionThis letter agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and BIOLASE, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), pursuant to which the Placement Agent shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of shares of common stock (the “Shares”) of the Company, par value $0.001 per share (“Common Stock”), prefunded warrants to purchase Common Stock (the “Prefunded Warrants”), and warrants to purchase Common Stock (the “Warrants”, and collectively with the Shares and the Prefunded Warrants, the “Securities”). The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and, collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or authority to bind the
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 10th, 2022 • Top Ships Inc. • Deep sea foreign transportation of freight • New York
Contract Type FiledJune 10th, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 22nd, 2022 • Inpixon • Services-computer programming services • New York
Contract Type FiledMarch 22nd, 2022 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 7th, 2022 • Statera Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledFebruary 7th, 2022 Company Industry Jurisdiction
January 28, 2022 Ms. Zeshu DaiPlacement Agency Agreement • February 3rd, 2022 • China Xiangtai Food Co., Ltd. • Meat packing plants • New York
Contract Type FiledFebruary 3rd, 2022 Company Industry JurisdictionThis placement agency agreement (the “Agreement”) constitutes the agreement between Univest Securities, LLC (“Univest” or the “Placement Agent”) and China Xiangtai Food Co., Ltd., a Cayman Islands exempted company (the “Company”), pursuant to which the Placement Agent shall serve as the placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of 16,853,933 ordinary shares of the Company, par value US$0.01 per share (“Ordinary Shares”), and warrants (“Warrants”) to purchase up to 16,853,933 Ordinary Shares of the Company (the Ordinary Shares underlying the Warrants, the “Warrant Shares”). The Ordinary Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities”. The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent w
Ms. Zeshu DaiPlacement Agency Agreement • November 24th, 2021 • China Xiangtai Food Co., Ltd. • Meat packing plants • New York
Contract Type FiledNovember 24th, 2021 Company Industry JurisdictionThis placement agency agreement (the “Agreement”) constitutes the agreement between Univest Securities, LLC (“Univest” or the “Placement Agent”) and China Xiangtai Food Co., Ltd., a Cayman Islands exempted company (the “Company”), pursuant to which the Placement Agent shall serve as the placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of ordinary shares of the Company, par value US$0.01 per share (“Ordinary Shares”), and warrants (“Warrants”) to purchase Ordinary Shares of the Company (the Ordinary Shares underlying the Warrants, the “Warrant Shares”). The Ordinary Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities”. The terms of the Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that the Placement Agent would have the power or autho
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • November 3rd, 2021 • NextPlay Technologies Inc. • Transportation services • New York
Contract Type FiledNovember 3rd, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 27th, 2021 • Creatd, Inc. • Services-allied to motion picture production • New York
Contract Type FiledOctober 27th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • September 13th, 2021 • Inpixon • Services-computer programming services • New York
Contract Type FiledSeptember 13th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 28th, 2021 • Globus Maritime LTD • Deep sea foreign transportation of freight • New York
Contract Type FiledJune 28th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 7th, 2021 • Castor Maritime Inc. • Deep sea foreign transportation of freight • New York
Contract Type FiledApril 7th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 19th, 2021 • Seanergy Maritime Holdings Corp. • Deep sea foreign transportation of freight • New York
Contract Type FiledFebruary 19th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 17th, 2021 • Inpixon • Services-computer programming services • New York
Contract Type FiledFebruary 17th, 2021 Company Industry Jurisdiction
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 16th, 2021 • Globus Maritime LTD • Deep sea foreign transportation of freight • New York
Contract Type FiledFebruary 16th, 2021 Company Industry Jurisdiction