Common Contracts
19 similar Underwriting Agreement contracts by Catabasis Pharmaceuticals Inc, Fuling Global Inc., Microvision, Inc., others
●] Shares of Common Stock (or Pre-Funded Warrants to Purchase Shares of Common Stock in Lieu Thereof) Warrants to Purchase [●] Shares of Common Stock BETTER THERAPEUTICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 6th, 2024 • Better Therapeutics, Inc. • Services-health services • New York
Better Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriter named on Schedule I hereto (the “Underwriter”) for which Chardan Capital Markets, LLC is acting as representative (“Chardan” or the “Representative”) (i) an aggregate of [●] authorized but unissued shares (the “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”) or pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares of Common Stock in lieu thereof at an exercise price of $0.001 per share (the “Pre-Funded Warrant Shares”), and (ii) warrants (the “Warrants”) to purchase up to an aggregate of [●] shares of Common Stock (the “Warrant Shares”). The Shares, the Pre-Funded Warrants, the Pre-Funded Warrant Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities”. The offering of the Securities pursuant hereto is referred to as the “Offering”.
4,900,000 Shares PIXELWORKS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 10th, 2020 • Pixelworks, Inc • Semiconductors & related devices • California
Pixelworks, Inc., an Oregon corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule III attached hereto (the “Underwriters”, or each, an “Underwriter”), for whom Roth Capital Partners, LLC is acting as representative (the “Representative”), an aggregate of 4,900,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters an aggregate of up to 735,000 additional shares of Common Stock (the “Additional Shares”), if and to the extent that the Underwriters shall have determined to exercise the right to purchase such shares granted to the Underwriters in Section 4(b) hereof. The Firm Shares and Additional Shares are collectively referred to as the “Shares.”
1,636,364 Shares ImmuCell Corporation Common Stock, par value $0.10 per share UNDERWRITING AGREEMENTUnderwriting Agreement • March 29th, 2019 • Immucell Corp /De/ • In vitro & in vivo diagnostic substances • New York
ImmuCell Corporation, a Delaware corporation (the “Company”), proposes to sell to Craig-Hallum Capital Group LLC (“you” or the “Underwriter”) an aggregate of 1,636,364 shares (the “Shares”) of Common Stock, par value $0.10 per share (the “Common Stock”), of the Company. The Shares consist of authorized but unissued shares of Common Stock to be issued and sold by the Company to the Underwriter.
4,000,000 Units, Each Consisting of One Share of Common Stock and 0.5 of a Warrant to Purchase One Share of Common Stock CATABASIS PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 6th, 2019 • Catabasis Pharmaceuticals Inc • Pharmaceutical preparations • New York
Catabasis Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Oppenheimer & Co. Inc., as sole underwriter (the “Underwriter”), an aggregate of (i) 4,000,000 authorized but unissued shares (the “Shares”) of Common Stock, par value $0.001 per share, of the Company (the “Common Stock”), and (ii) warrants (the “Warrants”) to purchase up to an aggregate of 2,000,000 shares of Common Stock (the “Warrant Shares”). The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities.”
7,000,000 Shares MICROVISION, INC. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • December 10th, 2018 • Microvision, Inc. • Electronic components, nec • New York
MicroVision, Inc., a Delaware corporation (the “Company”), proposes to sell to you and the other underwriters named on Schedule I (the “Underwriters”) to this Underwriting Agreement (this “Agreement”), for whom you are acting as the Representative (the “Representative”), an aggregate of 7,000,000 shares (the “Firm Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Firm Shares consist of authorized but unissued shares of Common Stock to be issued and sold by the Company. The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. The Company also has granted to the Underwriters an option to purchase up to 1,050,000 additional shares of Common Stock on the terms and for the purposes set forth in Section 3 hereof (the “Option Shares”). The Firm Shares and any Option Shares purchased pursuant to this Agreement are herein collectively called the “Securities.
42,000,000 Common Units, Each Consisting of One Share of Common Stock and a Warrant to Purchase One Share of Common Stock CATABASIS PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • June 20th, 2018 • Catabasis Pharmaceuticals Inc • Pharmaceutical preparations • New York
●] Shares MICROVISION, INC. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • June 8th, 2018 • Microvision, Inc. • Electronic components, nec • New York
MicroVision, Inc., a Delaware corporation (the “Company”), proposes to sell to you and the other underwriters named on Schedule I (the “Underwriters”) to this Underwriting Agreement (this “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Firm Shares consist of authorized but unissued shares of Common Stock to be issued and sold by the Company. The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. The Company also has granted to the Underwriters an option to purchase up to [●] additional shares of Common Stock on the terms and for the purposes set forth in Section 3 hereof (the “Option Shares”). The Firm Shares and any Option Shares purchased pursuant to this Agreement are herein collectively called the “Securities.”
6,200,000 Shares Invuity, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 16th, 2018 • Invuity, Inc. • Surgical & medical instruments & apparatus • New York
Invuity, Inc., a Delaware corporation (the “Company”) proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 6,200,000 shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company, all of which are authorized but unissued shares of Common Stock. The Company has also granted to the several Underwriters an option to purchase up to 600,000 additional shares of Common Stock on the terms and for the purposes set forth in Section 3 hereof (the “Option Shares”). The Firm Shares and any Option Shares purchased pursuant to this Underwriting Agreement (this “Agreement”) are herein collectively called the “Securities.”
CHEROKEE INC. UNDERWRITING AGREEMENT 3,685,000 Shares of Common StockUnderwriting Agreement • November 29th, 2016 • Cherokee Inc • Women's, misses', and juniors outerwear • New York
Cherokee Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the “Underwriter”) an aggregate of 3,685,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.02 per share (the “Common Stock”), of the Company. The Company also grants the Underwriter the option to purchase, upon the terms and conditions set forth in Section 4 hereof, up to an additional 552,750 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares.”
UNDERWRITING AGREEMENTUnderwriting Agreement • October 22nd, 2015 • Fuling Global Inc. • Plastics products, nec
The undersigned, FULING GLOBAL INC., a Cayman Islands company (collectively with its subsidiaries, including, without limitation, al entities disclosed or described in the Registration Statement (as hereinafter defined) the “Company”), hereby confirms the agreement with BURNHAM SECURITIES, INC. (hereinafter referred to as “you” (including its correlatives) or the “Representative”) and NETWORK 1 FINANCIAL SECURITIES, INC., as co-underwriter (the Representative and Network 1 Financial Securities, Inc. being together called the “Underwriters” and each, an “Underwriter”) as follows:
UNDERWRITING AGREEMENTUnderwriting Agreement • October 20th, 2015 • Fuling Global Inc. • Plastics products, nec
The undersigned, FULING GLOBAL INC., a Cayman Islands company (collectively with its subsidiaries, including, without limitation, al entities disclosed or described in the Registration Statement (as hereinafter defined) the “Company”), hereby confirms the agreement with BURNHAM SECURITIES, INC. (hereinafter referred to as “you” (including its correlatives) or the “Representative”) and NETWORK 1 FINANCIAL SECURITIES, INC., as co-underwriter (the Representative and Network 1 Financial Securities, Inc. being together called the “Underwriters” and each, an “Underwriter”) as follows:
3,250,000 Shares PIXELWORKS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 7th, 2015 • Pixelworks, Inc • Semiconductors & related devices • California
Pixelworks, Inc., an Oregon corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule III attached hereto (the “Underwriters”, or each, an “Underwriter”), for whom Roth Capital Partners, LLC is acting as representative (the “Representative”), an aggregate of 3,250,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters an aggregate of up to 487,500 additional shares of Common Stock (the “Additional Shares”), if and to the extent that the Underwriters shall have determined to exercise the right to purchase such shares granted to the Underwriters in Section 4(b) hereof. The Firm Shares and Additional Shares are collectively referred to as the “Shares.”
NANOSPHERE, INC. 40,000,000 Shares of Common Stock, $0.01 par value. UNDERWRITING AGREEMENTUnderwriting Agreement • October 27th, 2014 • Nanosphere Inc • Surgical & medical instruments & apparatus • New York
Nanosphere, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule A hereto (collectively, the “Underwriters” or each, an “Underwriter”), on a several and not joint basis, an aggregate of 40,000,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value per $0.01 share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 6,000,000 additional shares of Common Stock (the “Additional Shares) as may be necessary to cover any over-allotments made in connection with the offering. The Underwritten Shares, the Additional Shares, and the Representative’s Shares (as hereinafter defined) are collectively referred to as the “Shares”. Chardan Capital Markets LLC (“Chardan”) is acting as representative of the several Underwriters and in such capacity is hereinafter referred to as the “
UNDERWRITING AGREEMENTUnderwriting Agreement • June 8th, 2012 • Cpi Aerostructures Inc • Aircraft parts & auxiliary equipment, nec • New York
CPI Aerostructures, Inc., a New York corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell (the “Offering”) to the several underwriters (the “Underwriters”) named in Schedule I hereto, for whom Roth Capital Partners, LLC is acting as representative (the “Representative”), an aggregate of 1,000,000 authorized but unissued shares (the “Underwritten Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), and the stockholders of the Company listed on Schedule II hereto (the “Selling Stockholders” and each, a “Selling Stockholder”), propose, severally but not jointly, to sell to the Underwriters an aggregate of 305,000 shares of Common Stock (the “Secondary Shares”) in the amounts set forth opposite their names on Schedule II. The Company has granted the Underwriters the option to purchase an aggregate of up to 195,750 additional authorized but unissued shares of Common Stock (the “Additional Shares”) as
6,000,000 Shares OPTIMER PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 11th, 2011 • Optimer Pharmaceuticals Inc • Pharmaceutical preparations • New York
Optimer Pharmaceuticals, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule A hereto (the “Underwriters”) an aggregate of 6,000,000 shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Firm Shares consist of 6,000,000 authorized but unissued shares of Common Stock to be issued and sold by the Company.
14,000,000 Shares THE PRINCETON REVIEW, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 16th, 2010 • Princeton Review Inc • Services-educational services • New York
The Princeton Review, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the “Underwriter”) an aggregate of 14,000,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.01 per share (the “Common Stock”), of the Company. The Company has granted the Underwriter the option to purchase an aggregate of up to 2,100,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.”
4,250,000 Shares OPTIMER PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 1st, 2010 • Optimer Pharmaceuticals Inc • Pharmaceutical preparations • New York
Optimer Pharmaceuticals, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions stated herein, to sell to Jefferies & Company, Inc. (the “Underwriter”) an aggregate of 4,250,000 shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Firm Shares consist of 4,250,000 authorized but unissued shares of Common Stock to be issued and sold by the Company.
7,825,000 Shares FLOW INTERNATIONAL CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 2nd, 2009 • Flow International Corp • General industrial machinery & equipment, nec • Washington
Flow International Corporation, a Washington corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the “Underwriter”) an aggregate of 7,825,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.01 per share (the “Common Stock”), of the Company. The Company has granted the Underwriter the option to purchase an aggregate of up to 1,173,750 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.”
2,000,000 Shares MAXWELL TECHNOLOGIES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 19th, 2009 • Maxwell Technologies Inc • Miscellaneous electrical machinery, equipment & supplies • California
Maxwell Technologies, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the “Underwriter”) an aggregate of 2,000,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, $0.10 par value per share (the “Common Stock”), of the Company and to grant the Underwriter the option to purchase an aggregate of up to 300,000 additional shares (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering of the Underwritten Shares. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.”
