Common Contracts
10 similar Underwriting Agreement contracts by Magnum Hunter Resources Corp, GWG Life, LLC, Anworth Mortgage Asset Corp, others
GWG Holdings, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • June 12th, 2015 • GWG Life, LLC • Life insurance • New York
GWG Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through Halen Capital Management, Inc. (the “Representative”), who is acting as the representative of the several underwriters (the “Underwriters”) listed on Schedule I hereto, on a best efforts basis, up to $20,000,000 in principal amount of the Company’s 7.50% L Bonds due 2018 (the “L-Bonds”), in minimum denominations of $1,000. The L-Bonds are to be issued pursuant to the provisions of an Indenture dated as of October 19, 2011 (the “Base Indenture”), as supplemented by the First Amendment to Indenture dated as of December 15, 2011, and Amendment No. 2 to Indenture dated as of January 9, 2015 (collectively, the “Indenture”) between the Company, the subsidiary guarantor named therein and Bank of Utah, National Association (the “Trustee”). The L-Bonds will be unconditionally guaranteed as to the paym
GWG Holdings, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • May 5th, 2015 • GWG Life, LLC • Life insurance • New York
GWG Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through Halen Capital Management, Inc. (the “Representative”), who is acting as the representative of the several underwriters (the “Underwriters”) listed on Schedule I hereto, on a best efforts basis, up to 20,000 Units (the “Units”) of the Company’s 7.50% L Bonds due 2018 (the “Securities”), at $1,000 principal amount per whole Unit, representing $20,000,000 in aggregate principle amount of Securities. The Units are to be issued pursuant to the provisions of an Indenture dated as of October 19, 2011 (the “Base Indenture”), as supplemented by the First Amendment to Indenture dated as of December 15, 2011 and Amendment No. 2 to Indenture dated as of January 9, 2015 (collectively, the “Indenture”) between the Company, the subsidiary guarantor named therein and Bank of Utah, National Association (the “
ANWORTH MORTGAGE ASSET CORPORATION 300,000 Shares (Plus up an Option to Purchase up to 45,000 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • January 26th, 2015 • Anworth Mortgage Asset Corp • Real estate investment trusts • New York
Anworth Mortgage Asset Corporation, a Maryland corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), for whom MLV & Co. LLC is acting as representative (the “Representative”), an aggregate of 300,000 shares (the “Firm Shares”) of the Company’s 7.625% Series C Cumulative Redeemable Preferred Stock, par value $0.01 per share and liquidation preference $25.00 per share (the “Preferred Stock”), in connection with the public offering and sale of the Firm Shares. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 3 hereof, up to an additional 45,000 shares of Preferred Stock (the “Option Shares”) as may be necessary to cover overallotments made in connection with the public offering of the Firm Shares. The Firm Shares and the Option Shares are hereinafter collectively refer
PEREGRINE PHARMACEUTICALS, Inc. 700,000 Shares (Plus up an Option to Purchase up to 105,000 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • February 12th, 2014 • Peregrine Pharmaceuticals Inc • Pharmaceutical preparations • New York
Peregrine Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the several Underwriters named in Schedule IV hereto (the “Underwriters”), for whom MLV & Co. LLC is acting as representative (the “Representative”), an aggregate of 700,000 shares (the “Firm Shares”) of the Company’s 10.50% Series E Convertible Preferred Stock, par value $0.001 per share (the “Preferred Stock”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 2 hereof, up to an additional 105,000 shares of Preferred Stock (the “Option Shares”) as may be necessary to cover overallotments made in connection with the offering of the Firm Shares. The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Securities”.
347,827 Depositary Shares, each representing a 1/1000th interest in a share of 11.5% Series A Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 12th, 2013 • Global Geophysical Services Inc • Oil & gas field exploration services • New York
Global Geophysical Services, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through each of the Underwriters named in Schedule III hereto (the “Underwriters”), for whom MLV & Co. LLC is acting as representative (the “Representative”), on a best efforts basis, an aggregate of 347,827 depositary shares (the “Securities”), each representing a 1/1000th ownership interest in a share of the Company’s 11.5% Series A Cumulative Preferred Stock, par value $0.01 per share, with a liquidation preference of $25,000 per share (the “Preferred Stock”).
1,578,948 Shares CALLON PETROLEUM COMPANY 10% Series A Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 28th, 2013 • Callon Petroleum Co • Crude petroleum & natural gas • New York
Callon Petroleum Company, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through the Underwriters named in Schedule I hereto (the “Underwriters”), for whom MLV & Co. LLC, Janney Montgomery Scott LLC, and Sterne, Agee & Leach, Inc. are acting as representatives (the “Representatives”), on a best efforts basis, 1,578,948 shares (the “Securities”) of the Company’s 10% Series A Cumulative Preferred Stock, par value $0.01 per share (the “Series A Preferred Stock”).
1,000,000 Depositary Shares MAGNUM HUNTER RESOURCES CORPORATION 8% Series E Cumulative Convertible Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 7th, 2012 • Magnum Hunter Resources Corp • Crude petroleum & natural gas • New York
Magnum Hunter Resources Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through UBS Securities LLC (“UBS”), MLV & Co. LLC (“MLV”), Wunderlich Securities, Inc. (“Wunderlich”), Maxim Group LLC (“Maxim”), National Securities Corporation (“National”) and Northland Securities, Inc. (“Northland,” and together with MLV, UBS, Wunderlich, Maxim and National, the “Underwriters”), on a best efforts basis, an aggregate of 1,000,000 Depositary Shares (the “Securities”), each representing a 1/1,000th interest in a share of the Company’s 8% Series E Cumulative Convertible Preferred Stock, par value $0.01 per share with a liquidation value of
1,050,000 Shares MAGNUM HUNTER RESOURCES CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • September 11th, 2012 • Magnum Hunter Resources Corp • Crude petroleum & natural gas • New York
Magnum Hunter Resources Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through Barclays Capital Inc. (“Barclays”), MLV & Co. LLC (“MLV”), Wunderlich Securities, Inc. (“Wunderlich”), Maxim Group LLC (“Maxim”) and National Securities Corporation (“National,” together with Barclays, MLV, Wunderlich and Maxim, the “Underwriters”), on a best efforts basis, 1,050,000 shares of the Company’s 8.0% Series D Cumulative Preferred Stock, par value $0.01 per share (the “Securities”).
EVOLUTION PETROLEUM CORPORATION Series A Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 29th, 2011 • Evolution Petroleum Corp • Crude petroleum & natural gas • New York
Evolution Petroleum Corporation, a Nevada corporation (the "Company"), proposes, subject to the terms and conditions of this Underwriting Agreement (this "Agreement"), to issue and sell to the public through McNicoll, Lewis & Vlak LLC (the "Underwriter"), on a best efforts basis, 220,000 shares of the Company's Series A Preferred Stock, par value $0.001 per share (the "Securities").
400,000 Shares MAGNUM HUNTER RESOURCES CORPORATION 8% Series D Cumulative Preferred Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 17th, 2011 • Magnum Hunter Resources Corp • Crude petroleum & natural gas • New York
Magnum Hunter Resources Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Underwriting Agreement (this “Agreement”), to issue and sell to the public through McNicoll, Lewis & Vlak LLC (“MLV”) and Wunderlich Securities, Inc. (“Wunderlich,” together with MLV, the “Underwriters”), on a best efforts basis, 400,000 shares of the Company’s 8% Series D Cumulative Preferred Stock, par value $0.01 per share (the “Securities”).
