PLACEMENT AGENT AGREEMENTTecogen Inc. • May 20th, 2014 • Air-cond & warm air heatg equip & comm & indl refrig equip • New York
Company FiledMay 20th, 2014 Industry Jurisdiction(a)The Company hereby authorizes the Placement Agent to act as its exclusive agent to solicit offers for the purchase of all or part of the Shares from the Company in connection with the proposed offering of the Shares (the “Offering”). Until the Closing Date (as defined in Section 4 hereof) or earlier upon termination of this Agreement pursuant to Section 9 the Company shall not, without the prior consent of the Placement Agent, solicit or accept offers to purchase the Shares otherwise than through the Placement Agent.
CORMEDIX INC. 2,960,000 Units Each Unit Consisting of One Share of Common Stock and 0.35 of a Warrant, Each to Purchase One Share of Common Stock PLACEMENT AGENT AGREEMENTCorMedix Inc. • March 5th, 2014 • Pharmaceutical preparations • New York
Company FiledMarch 5th, 2014 Industry JurisdictionIf (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last seventeen (17) days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the sixteen (16)-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the eighteen (18)-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event.
INTERNATIONAL STEM CELL CORPORATION 20,000,000 Units Each Unit Consisting of One Share of Common Stock and One Series A Warrant to Purchase One Share of Common Stock and 20,000,000 Series B Warrants, Each to Purchase One Unit PLACEMENT AGENT AGREEMENTInternational Stem Cell CORP • July 19th, 2013 • Pharmaceutical preparations • New York
Company FiledJuly 19th, 2013 Industry Jurisdiction
SOMAXON PHARMACEUTICALS, INC. 9,422,496 shares of Common Stock and Warrants to purchase up to 4,711,248 shares of Common Stock PLACEMENT AGENT AGREEMENTSomaxon Pharmaceuticals, Inc. • July 20th, 2012 • Pharmaceutical preparations • New York
Company FiledJuly 20th, 2012 Industry Jurisdiction
NILE THERAPEUTICS, INC. 3,350,000 shares of Common Stock and Warrants to purchase up to 2,512,500 shares of Common Stock PLACEMENT AGENT AGREEMENTNile Therapeutics, Inc. • April 2nd, 2012 • Pharmaceutical preparations • New York
Company FiledApril 2nd, 2012 Industry JurisdictionIn addition, the undersigned hereby waives, from the date hereof until the expiration of the thirty (30) day period following the date of the Company’s final prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock or securities convertible into or exercisable or exchangeable for Common Stock that are registered in the name of the undersigned or that are Beneficially Owned Shares. In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of legends and/or stop transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock, securities convertible into or exercisable or exchangeable for Common Stock or Beneficially Owned Shares.
INTELLIPHARMACEUTICS INTERNATIONAL INC. 1,818,182 Common Shares PLACEMENT AGENT AGREEMENTIntellipharmaceutics International Inc. • March 9th, 2012 • Pharmaceutical preparations • New York
Company FiledMarch 9th, 2012 Industry Jurisdiction