Common Contracts
72 similar Underwriting Agreement contracts by OP Bancorp, SBT Bancorp, Inc., Better Choice Co Inc., others
● ] Shares Proficient Auto Logistics, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 23rd, 2024 • Proficient Auto Logistics, Inc • Transportation services
•] Shares BRIDGER AEROSPACE GROUP HOLDINGS, INC. Common Stock, par value $0.0001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • October 17th, 2023 • Bridger Aerospace Group Holdings, Inc. • Services-business services, nec
beneficiary of which is a member of one of such individual’s immediate family, an affiliate of such person or to a charitable organization; (iv) if the undersigned is an individual, transfers by virtue of laws of descent and distribution (including by will or intestate succession) upon death of the individual; (v) if the undersigned is an individual, transfers by operation of law, including pursuant to a qualified domestic relations order or in connection with a divorce settlement or other order of a court or administrative or regulatory agency; (vi) if the undersigned is an entity, transfers by virtue of the laws of the state of the entity’s organization and the entity’s organizational documents upon dissolution of the entity; (vii) transfers to the extent required by applicable law, statute, ordinance, treaty, regulation or legal or self-regulatory requirement or to the extent required by any governmental or self-regulatory authority exercising jurisdiction over the undersigned; (vii
12,567,610 Shares of Common Stock, 22,214,990 Prefunded Warrants (to purchase 22,214,990 shares of Common Stock) and 34,782,600 Common Warrants (to purchase 34,782,600 shares of Common Stock) SIENTRA, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 27th, 2022 • Sientra, Inc. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Sientra, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters”) for whom Craig-Hallum Capital Group LLC is acting as representative (the “Representative”) an aggregate of 12,567,610 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“Common Stock”), 22,214,990 Prefunded Warrants (as defined below), and 34,782,600 Firm Common Warrants (as defined below). The Company also proposes to sell to the Underwriters, at the option of the Underwriters, up to an additional 5,217,390 shares of Common Stock (the “Option Shares”) and up to an additional 5,217,390 Option Common Warrants (the “Option Common Warrants”) (which Option Common Warrants shall be in the same form as the Firm Common Warrants). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”, and the Shares, the Prefunded Warrants and the Common Warrants are hereinafter refe
•] Shares THIRD COAST BANCSHARES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 1st, 2021 • Third Coast Bancshares, Inc. • Savings institutions, not federally chartered • New York
This press release is not an offer or sale of the securities in the United States or in any other jurisdiction where such offer or sale is prohibited, and such securities may not be offered or sold in the United States absent registration or an exemption from registration under the United States Securities Act of 1933, as amended.
LAKELAND BANCORP, INC.Underwriting Agreement • September 9th, 2021 • Lakeland Bancorp Inc • State commercial banks • New York
Lakeland Bancorp, Inc., a New Jersey corporation (the “Company”), proposes to issue and sell to the underwriters named in Schedule A hereto (each, an “Underwriter” and collectively, the “Underwriters”), for whom Keefe, Bruyette & Woods, Inc. is acting as representative (the “Representative”), and the Underwriters agree to purchase pursuant to this Underwriting Agreement (this “Agreement”), an aggregate of $150,000,000 of the Company’s 2.875% Fixed-to-Floating Rate Subordinated Notes due September 15, 2031 (the “Securities”). The Securities will be issued pursuant to an indenture, to be dated as of the Closing Date (as defined in Section 2 hereof) (the “Base Indenture”), between the Company and U.S. Bank National Association, as trustee (the “Trustee”), as supplemented by a supplemental indenture thereto relating to the Securities, to be dated as of the Closing Date, between the Company and the Trustee (the “Supplemental Indenture” and, together with the Base Indenture, the “Indenture”)
Unitil Corporation 800,000 Shares Common Stock (No Par Value) Underwriting AgreementUnderwriting Agreement • August 5th, 2021 • Unitil Corp • Electric & other services combined • New York
Unitil Corporation, a New Hampshire corporation (the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representatives”) an aggregate of 800,000 shares (the “Firm Securities”) of the Company’s common stock, no par value (“Common Stock”). The respective amounts of the Firm Securities to be so purchased by the several Underwriters are set forth opposite their names in Schedule I hereto. The Company also proposes to sell to the Underwriters, at the Underwriters’ option, an aggregate of up to 120,000 additional shares of Common Stock (the “Option Securities”) as set forth below.
●] Shares CADRE HOLDINGS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 27th, 2021 • Cadre Holdings, Inc. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Cadre Holdings, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as Representatives (the “Representatives”) an aggregate of [●] shares (the “Firm Shares”) of the common stock, par value $0.0001 per share, of the Company (“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 [●] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
137535145 4817-7856-9701\8 Execuction Version UNDERWRITING AGREEMENT 8,000,000 Shares Better Choice Company Inc. Common Stock UNDERWRITING AGREEMENT June 29, 2021 D.A. DAVIDSON & CO. As representative of the several Underwriters named in Schedule I...Underwriting Agreement • July 1st, 2021 • Better Choice Co Inc. • Beverages
UNDERWRITING AGREEMENTUnderwriting Agreement • June 16th, 2021 • Better Choice Co Inc. • Beverages • New York
Better Choice Company Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom D.A. Davidson & Co. is acting as representative (the “Representative”) an aggregate of [•] shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“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 [•] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
UNDERWRITING AGREEMENT 3,690,000 Shares Bowman Consulting Group Ltd. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 12th, 2021 • Bowman Consulting Group Ltd. • Services-management consulting services • New York
Bowman Consulting Group Ltd., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 3,690,000 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“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 553,500 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
UNDERWRITING AGREEMENT [•] Shares Bowman Consulting Group Ltd. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 6th, 2021 • Bowman Consulting Group Ltd. • Services-management consulting services • New York
Bowman Consulting Group Ltd., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of [•] shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“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 [•] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
UNDERWRITING AGREEMENT [•] Shares iPower Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 5th, 2021 • iPower Inc. • Retail-building materials, hardware, garden supply • New York
iPower Inc., a Nevada corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of [•] shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“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 [•] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
14,260,800 Shares of Common Stock CTI BIOPHARMA CORP. UNDERWRITING AGREEMENT March 31, 2021Underwriting Agreement • April 6th, 2021 • Cti Biopharma Corp • Pharmaceutical preparations • New York
CTI BioPharma Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representative”) (i) an aggregate of 14,260,800 shares (the “Common Shares”) of the common stock, par value $0.001 per share, of the Company (“Common Stock”) and (ii) an aggregate of 600 shares (the “Preferred Shares” and, together with the Common Shares, the “Firm Shares”) of the Series X1 Preferred Stock, par value $0.001 per share, of the Company (the “Preferred Stock”). The Company also proposes to sell to the several Underwriters at the option of the Underwriters, up to an additional 2,139,120 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares.”
UNDERWRITING AGREEMENT [•] Shares Karat Packaging Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 30th, 2021 • Karat Packaging Inc. • Plastics products, nec • New York
Karat Packaging Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of [•] shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“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 [•] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
] Shares of Common Stock and Pre-Funded Warrants to Purchase [ ] Shares of Common Stock Benitec Biopharma Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • October 1st, 2020 • Benitec Biopharma Inc. • Pharmaceutical preparations
Benitec Biopharma Inc. a Delaware corporation (the “Company”), proposes to issue and sell to H.C. Wainwright & Co., LLC (the “Underwriter”) an aggregate of (i) [ ] shares (the “Firm Shares”) of the common stock, par value $0.0001 per share, of the Company (“Common Stock”) and (ii) pre-funded warrants to purchase [ ] shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrants” and, collectively with the Firm Shares, the “Firm Securities”). The amount and form of the Firm Securities to be purchased by the Underwriter is set forth opposite its name on Schedule I hereto. The Company also proposes to sell to the Underwriter, at the option of the Underwriter, up to an additional [ ] shares of Common Stock (the “Option Shares” or the “Option Securities”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”; the shares of Common Stock issuable upon exercise of the Pre-Funded Warrants are referred to herein as the “Warrant
16,666,667 Shares RESONANT INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 7th, 2020 • Resonant Inc • Semiconductors & related devices • New York
Resonant Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 16,666,667 shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“Common Stock”). The Company also proposes to sell to the several Underwriters at the option of the Underwriters, up to an additional 2,500,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
●] Shares MONOPAR THERAPEUTICS INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 1st, 2019 • Monopar Therapeutics • Pharmaceutical preparations • New York
Monopar Therapeutics Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of [●] shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“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 [●] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
11,688,000 Shares AERPIO PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 27th, 2018 • Aerpio Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Aerpio Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 11,688,000 shares (the “Firm Shares”) of the common stock, par value $0.0001 per share, of the Company (“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 1,753,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
7,407,408 Shares SIENTRA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 4th, 2018 • Sientra, Inc. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Sientra, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representatives”) an aggregate of 7,407,408 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“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 1,111,111 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
58,666,667 Shares NORTHERN OIL AND GAS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 10th, 2018 • Northern Oil & Gas, Inc. • Crude petroleum & natural gas • New York
Northern Oil and Gas, Inc., a Minnesota corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 58,666,667 shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“Common Stock”). The Company also proposes to grant to the Underwriters an option to purchase up to 8,800,000 additional shares of Common Stock (the “Option Shares”) as set forth in Section 2 hereof. The Firm Shares and the Option Shares are herein collectively referred to as the “Shares”.
2,000,000 Shares OP BANCORP Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 28th, 2018 • OP Bancorp • State commercial banks • New York
•] Shares OP BANCORP Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 26th, 2018 • OP Bancorp • State commercial banks • New York
•] Shares OP BANCORP Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 20th, 2018 • OP Bancorp • State commercial banks • New York
3,600,000 Shares Everspin Technologies, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 9th, 2018 • Everspin Technologies Inc • Semiconductors & related devices • New York
Everspin Technologies, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representative (the “Representative”) an aggregate of 3,600,000 shares (the “Firm Shares”) of the common stock, $0.0001 par value per share, of the Company (“Common Stock”), all of which are to be issued and sold by the Company. The Company also proposes to sell to the several Underwriters, at the option of the Underwriters, up to an additional 540,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares.”
CONNECTONE BANCORP, INC. 5.20% Fixed-to-Floating Rate Subordinated Notes due February 1, 2028 UNDERWRITING AGREEMENTUnderwriting Agreement • January 17th, 2018 • ConnectOne Bancorp, Inc. • State commercial banks • New York
4,250,000 Shares Century Casinos, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 22nd, 2017 • Century Casinos Inc /Co/ • Hotels & motels • New York
Century Casinos, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representatives”), an aggregate of 4,250,000 shares (the “Firm Shares”) of the common stock, par value $0.01 per share, of the Company (“Common Stock”) on the terms and subject to the conditions set forth in this Underwriting Agreement (the “Agreement”). The Company also proposes to issue and 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 637,500 shares of Common Stock (the “Option Shares”), on the terms and subject to the conditions set forth in Section 2. The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
•] Shares Eleven Biotherapeutics, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 17th, 2017 • Eleven Biotherapeutics, Inc. • Pharmaceutical preparations • New York
Egalet Corporation 16,666,667 Shares of Common Stock Warrants to Purchase 16,666,667 Shares of Common Stock UNDERWRITING AGREEMENT July 6, 2017Underwriting Agreement • July 11th, 2017 • Egalet Corp • Pharmaceutical preparations • New York
Egalet Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”), for whom Cantor Fitzgerald & Co. (“CF&CO” or the “Representative”) is acting as representative, (i) an aggregate of 16,666,667 shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“Common Stock”), and (ii) 16,666,667 warrants to purchase an aggregate of 16,666,667 shares of Common Stock (the “Firm Warrants”) in the form, and with the terms described in the Prospectus (as defined below), which will be issued pursuant to the Warrant Agreement, to be dated as of the Closing Date (as defined below), between the Company and Broadridge Corporate Issuer Solutions, Inc., acting as warrant agent (the “Warrant Agreement”), all of which are to be issued and sold by the Company. Each Firm Share is being sold together with a Firm Warrant to purchase one share of Common Stock at an exercise price of
24,900,000 Shares of Common Stock and Series A Warrants to Purchase up to 24,900,000 Shares of Common Stock Series B Warrants to Purchase up to 18,675,000 Shares of Common Stock TransEnterix, Inc. Common Stock UNDERWRITING AGREEMENT April 28, 2017Underwriting Agreement • April 28th, 2017 • Transenterix Inc. • Surgical & medical instruments & apparatus • New York
obligations upon exercise or vesting of stock options or equity awards, (iii) transfers of Restricted Securities or any security convertible into or exercisable for Restricted Securities to an immediate family member or a trust for the benefit of the undersigned or an immediate family member or to any corporation, partnership, limited liability company or other entity all of the beneficial ownership interests of which are held exclusively by the undersigned and/or one or more family members of the undersigned in a transaction not involving a disposition for value, (iv) transfers of Restricted Securities or any security convertible into or exercisable for Restricted Securities upon death by will or intestate succession, (v) the exercise of any option, warrant or other right to acquire Restricted Securities, the settlement of any stock-settled stock appreciation rights, restricted stock or restricted stock units or the conversion of any convertible security into Restricted Securities, (v
4,450,000 Shares CARA THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 3rd, 2017 • Cara Therapeutics, Inc. • Pharmaceutical preparations • New York
CARA THERAPEUTICS, INC., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representatives”) an aggregate of 4,450,000 shares (the “Firm Shares”) of the common stock, par value $0.001 per share, of the Company (“Common Stock”). The Company also proposes to sell to the several Underwriters, at the option of the underwriters, up to an additional 667,500 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
LAKELAND BANCORP, INC. 5.125% Fixed-to-Floating Rate Subordinated Notes due September 30, 2026 UNDERWRITING AGREEMENTUnderwriting Agreement • September 30th, 2016 • Lakeland Bancorp Inc • State commercial banks • New York
* Note: A rating is not a recommendation to buy, sell or hold securities. Ratings may be subject to revision or withdrawal at any time by the assigning rating organization. Each rating agency has its own methodology for assigning ratings and, accordingly, each rating should be evaluated independently of any other rating.
Shares Everspin Technologies, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 9th, 2016 • Everspin Technologies Inc • Semiconductors & related devices • New York
Everspin Technologies, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) for whom you are acting as representatives (the “Representatives”) an aggregate of ________________ shares (the “Firm Shares”) of the common stock, $0.0001 par value per share, of the Company (“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 _______________ shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter referred to collectively as the “Shares”.
400,000 Shares SBT BANCORP, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2015 • SBT Bancorp, Inc. • State commercial banks • New York
400,000 Shares SBT BANCORP, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 10th, 2015 • SBT Bancorp, Inc. • State commercial banks • New York
Number of Firm Shares] Shares SBT BANCORP, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 16th, 2015 • SBT Bancorp, Inc. • State commercial banks • New York
