1,320,276 Shares Eagle Pharmaceuticals, Inc. Common Stock PURCHASE AGREEMENTPurchase Agreement • March 17th, 2015 • Eagle Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMarch 17th, 2015 Company Industry Jurisdiction
PURCHASE AGREEMENT S1 BIOPHARMA, INC. 1,750,000 Units(1) Each Unit Consisting of One Share of Common Stock, a Series A Warrant to Purchase One Share of Common Stock and a Series B Warrant to Purchase One Share of Common StockPurchase Agreement • November 26th, 2014 • S1 Biopharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 26th, 2014 Company Industry Jurisdictionto any of the Undersigned’s Securities or with respect to any security that includes, relates to or derives any significant part of its value from such Securities.
6,841,250 Shares of Common Stock and Pre-Funded Warrants to Purchase 2,158,750 Shares of Common Stock IDERA PHARMACEUTICALS, INC. PURCHASE AGREEMENTPurchase Agreement • February 5th, 2014 • Idera Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledFebruary 5th, 2014 Company Industry JurisdictionIdera Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of (i) 6,841,250 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company and (ii) warrants of the Company, in the form set forth in Exhibit C hereto, to purchase up to an aggregate of 2,158,750 shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrants”). The Company has also granted to the several Underwriters an option to purchase up to an aggregate of 1,026,188 additional shares of common stock, on the terms and for the purposes set forth in Section 3 hereof (the “Option Shares”). The Firm Shares, the Pre-Funded Warrants and any Option Shares purchased pursuant to this Purchase Agreement are herein collectively called the “Securities.”
13,727,251 Shares of Common Stock and Pre-Funded Warrants to Purchase 4,175,975 Shares of Common Stock IDERA PHARMACEUTICALS, INC. PURCHASE AGREEMENTPurchase Agreement • September 26th, 2013 • Idera Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledSeptember 26th, 2013 Company Industry JurisdictionIdera Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of (i) 13,727,251 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company and (ii) warrants of the Company, in the form set forth in Exhibit C hereto, to purchase up to an aggregate of 4,175,975 shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrants”). The Firm Shares and the Pre-Funded Warrants purchased pursuant to this Agreement are herein collectively called the “Securities.”
15,000,000 Shares1 NANOSPHERE, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • September 18th, 2013 • Nanosphere Inc • Surgical & medical instruments & apparatus • New York
Contract Type FiledSeptember 18th, 2013 Company Industry JurisdictionNanosphere, Inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters (the “Underwriters”) named in Schedule I hereto for whom Piper Jaffray & Co. is acting as representative (the “Representative”), an aggregate of 15,000,000 shares (the “Firm Shares”) of common stock, $0.01 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several Underwriters an option to purchase up to an aggregate of 2,250,000 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 Purchase Agreement are herein collectively called the “Securities.”
3,800,000 Shares1 ACELRX PHARMACEUTICALS, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • July 19th, 2013 • Acelrx Pharmaceuticals Inc • Pharmaceutical preparations • New York
Contract Type FiledJuly 19th, 2013 Company Industry JurisdictionAcelRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of authorized but unissued 3,800,000 shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several Underwriters an option to purchase up to 570,000 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 Purchase Agreement are herein collectively called the “Securities.”
Ÿ ] Shares1 Venaxis, Inc. Common Stock PURCHASE AGREEMENTPurchase Agreement • May 20th, 2013 • Venaxis, Inc. • In vitro & in vivo diagnostic substances • New York
Contract Type FiledMay 20th, 2013 Company Industry JurisdictionVenaxis, Inc., a Colorado corporation (the “Company”), proposes to sell to Piper Jaffray & Co. (the “Underwriter”) an aggregate of [ Ÿ ] shares (the “Firm Shares”) of Common Stock, no par value per share (the “Common Stock”), of the Company. The Firm Shares consist of [ Ÿ ] authorized but unissued shares of Common Stock to be issued and sold by the Company. The Company has also granted to the Underwriter an option to purchase up to [ Ÿ ] 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 Purchase Agreement are herein collectively called the “Securities.”
—] Shares of Common Stock Warrants to Purchase [—] Shares of Common Stock and Warrants to Purchase [—] Shares of Common Stock IDERA PHARMACEUTICALS, INC. PURCHASE AGREEMENTPurchase Agreement • May 1st, 2013 • Idera Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledMay 1st, 2013 Company Industry JurisdictionIdera Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of (i) [—] authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, (ii) warrants of the Company, in the form set forth in Exhibit C hereto, to purchase [—] shares of Common Stock at an exercise price of $[—] per share (the “Firm Warrants”) and (iii) warrants of the Company, in the form set forth in Exhibit D hereto, to purchase [—] shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrants”). Each Firm Share is being sold together with a Firm Warrant to purchase $[—] of a share of Common Stock at an exercise price of $[—] per share. Each Pre-Funded Warrant is being sold together with a Firm Warrant. The Firm Shares, Firm Warrants and the Pre-Funded Warrants purchased pursuant to this Agreement are herein coll
—] Shares of Common Stock and Warrants to Purchase [—] Shares of Common Stock IDERA PHARMACEUTICALS, INC. PURCHASE AGREEMENTPurchase Agreement • April 23rd, 2013 • Idera Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledApril 23rd, 2013 Company Industry JurisdictionIdera Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of (i) [—] authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company and (ii) warrants of the Company, in the form set forth in Exhibit C hereto, to purchase [—] shares of Common Stock at an exercise price of $[—] per share (the “Firm Warrants”). Each Firm Share is being sold together with a Firm Warrant to purchase $[—] of a share of Common Stock at an exercise price of $[—] per share. The Company has also granted to the several Underwriters an option to purchase up to [—] additional shares of Common Stock (the “Option Shares”) and warrants to purchase up to an additional [—] shares of Common Stock at an exercise price of $[—] per share (the “Option Warrants”), on the terms and for the purposes set forth in Section 3 hereof. The Firm Shares
13,770,000 Shares and Warrants to Purchase 5,508,000 Shares EnteroMedics Inc. PURCHASE AGREEMENTPurchase Agreement • February 22nd, 2013 • EnteroMedics Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledFebruary 22nd, 2013 Company Industry JurisdictionThe statements under the captions (the “Regulatory Sections”): “Risk Factors – Risks Associated with Development and Commercialization of Our Maestro Rechargeable System” and “Business – Government Regulations” incorporated by reference in the Registration Statement, the Statutory Prospectus and the Prospectus from the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2011, insofar as such statements purport to summarize applicable provisions of the FDA Laws and Regulations are accurate summaries in all material respects of the provisions purported to be summarized under the Regulatory Sections.
ACELRX PHARMACEUTICALS, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • December 5th, 2012 • Acelrx Pharmaceuticals Inc • Pharmaceutical preparations • New York
Contract Type FiledDecember 5th, 2012 Company Industry JurisdictionAcelRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of authorized but unissued [— ] shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several 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 Purchase Agreement are herein collectively called the “Securities.”
NANOSPHERE, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • July 24th, 2012 • Nanosphere Inc • Surgical & medical instruments & apparatus • New York
Contract Type FiledJuly 24th, 2012 Company Industry JurisdictionNanosphere, Inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters (the “Underwriters”) named in Schedule I hereto for whom Piper Jaffray & Co. is acting as representative (the “Representative”), an aggregate of 10,500,000 shares (the “Firm Shares”) of common stock, $0.01 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several Underwriters an option to purchase up to an aggregate of 1,575,000 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 Purchase Agreement are herein collectively called the “Securities.”
8,800,000 Shares and Warrants to Purchase 1,760,000 Shares EnteroMedics Inc. PURCHASE AGREEMENTPurchase Agreement • September 23rd, 2011 • EnteroMedics Inc • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledSeptember 23rd, 2011 Company Industry JurisdictionThe statements under the captions (the “Regulatory Sections”): “Risk Factors – Risks Associated with Development and Commercialization of Our Maestro System” and “Business – Government Regulations” incorporated by reference in the Registration Statement, the Statutory Prospectus and the Prospectus from the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2010, insofar as such statements purport to summarize applicable provisions of the FDA Laws and Regulations are accurate summaries in all material respects of the provisions purported to be summarized under the Regulatory Sections.
9,487,500 Shares1 VALUEVISION MEDIA, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • March 31st, 2011 • Valuevision Media Inc • Retail-catalog & mail-order houses • New York
Contract Type FiledMarch 31st, 2011 Company Industry JurisdictionPIPER JAFFRAY & CO. As Representative of the Several Underwriters named in Schedule II hereto c/o Piper Jaffray & Co.U.S. Bancorp Center 800 Nicollet Mall Minneapolis, Minnesota 55402 Ladies and Gentlemen:
— ] Shares1 ACELRX PHARMACEUTICALS, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • January 7th, 2011 • Acelrx Pharmaceuticals Inc • Pharmaceutical preparations • New York
Contract Type FiledJanuary 7th, 2011 Company Industry JurisdictionAcelRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of authorized but unissued [ — ] shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several 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 Purchase Agreement are herein collectively called the “Securities.”
5,500,000 Shares1 MAKO Surgical Corp. Common Stock PURCHASE AGREEMENTPurchase Agreement • November 5th, 2010 • MAKO Surgical Corp. • Orthopedic, prosthetic & surgical appliances & supplies • New York
Contract Type FiledNovember 5th, 2010 Company Industry JurisdictionMAKO Surgical Corp., a Delaware corporation (the “Company”), proposes to sell to Piper Jaffray & Co. (the “Underwriter”) an aggregate of 5,500,000 shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Company has also granted to the Underwriter an option to purchase up to 825,000 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 Purchase Agreement are herein collectively called the “Securities.”
Tengion, Inc. [ — ] Shares1 Common Stock PURCHASE AGREEMENTPurchase Agreement • March 25th, 2010 • Tengion Inc • Biological products, (no disgnostic substances) • New York
Contract Type FiledMarch 25th, 2010 Company Industry JurisdictionTengion, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of [ — ] authorized but unissued shares (the “Firm Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company. The Company has also granted to the several 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 Purchase Agreement are herein collectively called the “Securities.”
6,800,000 Shares and 1,020,000 Over-Allotment Shares Novavax, Inc. Common Stock, par value $0.01 per share PURCHASE AGREEMENTPurchase Agreement • November 20th, 2009 • Novavax Inc • Biological products, (no disgnostic substances) • New York
Contract Type FiledNovember 20th, 2009 Company Industry JurisdictionPIPER JAFFRAY & CO. LAZARD CAPITAL MARKETS LLC As Representatives of the several Underwriters named in Schedule I c/o Piper Jaffray & Co. U.S. Bancorp Center 800 Nicollet Mall Minneapolis, Minnesota 55402
11,692,000 Shares HANSEN MEDICAL, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • April 20th, 2009 • Hansen Medical Inc • Orthopedic, prosthetic & surgical appliances & supplies • New York
Contract Type FiledApril 20th, 2009 Company Industry JurisdictionHansen Medical, Inc., a Delaware corporation (the “Company”), proposes to sell to Piper Jaffray & Co. (the “Underwriter”), an aggregate of 11,692,000 shares (the “Shares”) of Common Stock, $0.0001 par value per share (the “Common Stock”), of the Company.
15,994,000 Shares DEXCOM, INC. Common Stock PURCHASE AGREEMENTPurchase Agreement • January 30th, 2009 • Dexcom Inc • Surgical & medical instruments & apparatus • New York
Contract Type FiledJanuary 30th, 2009 Company Industry JurisdictionDexCom, Inc., a Delaware corporation (the “Company”), proposes to sell to Piper Jaffray & Co. (the “Underwriter”), an aggregate of 15,994,000 shares (the “Shares”) of Common Stock, $0.001 par value per share (the “Common Stock”), of the Company.