Shares* XTERA COMMUNICATIONS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 26th, 2015 • Xtera Communications, Inc. • Telephone & telegraph apparatus • New York
Contract Type FiledOctober 26th, 2015 Company Industry JurisdictionXtera Communications, Inc., a Delaware corporation (the “Company”), proposes to issue and sell shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.001 (the “Common Stock”), to you (collectively, the “Underwriters” or “Representatives”). The Company has also agreed to grant to you and the other Underwriters an option (the “Option”) to purchase up to an additional shares of Common Stock, on the terms and for the purposes set forth in Section 1(b) (the “Option Shares”). The Firm Shares and the Option Shares are referred to collectively herein as the “Shares.”
Shares NEW SOURCE ENERGY CORPORATION Common Stock FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • April 20th, 2012 • New Source Energy Corp • Crude petroleum & natural gas • New York
Contract Type FiledApril 20th, 2012 Company Industry JurisdictionNew Source Energy Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell an aggregate of shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), to the several underwriters named in Schedule I (collectively, the “Underwriters”), for whom BMO Capital Markets Corp. (“BMOCM”) and KeyBanc Capital Markets Inc. (“KBCM”) are acting as representatives (the “Representatives”). The Company has also agreed to grant to the Underwriters an option (the “Option”) to purchase up to an additional shares of Common Stock (the “Option Shares”) on the terms and for the purposes set forth in Section 1(b). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares.”
WARREN RESOURCES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 23rd, 2009 • Warren Resources Inc • Crude petroleum & natural gas • New York
Contract Type FiledOctober 23rd, 2009 Company Industry JurisdictionWarren Resources, Inc., a Maryland corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell an aggregate of 11,775,000 shares (the “Securities”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”), to the several underwriters named in Schedule I (collectively, the “Underwriters”), for whom BMO Capital Markets Corp. and RBC Capital Markets Corporation are acting as representatives (the “Representatives”).
Shares Bioheart, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 21st, 2007 • Bioheart, Inc. • Services-commercial physical & biological research • New York
Contract Type FiledDecember 21st, 2007 Company Industry JurisdictionMerriman Curhan Ford & Co. Dawson James Securities, Inc. As Representatives of the Several Underwriters c/o Merriman Curhan Ford & Co. 600 California Street, 9th Floor San Francisco, California 94108
Shares Bioheart, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 16th, 2007 • Bioheart, Inc. • Services-commercial physical & biological research • New York
Contract Type FiledNovember 16th, 2007 Company Industry JurisdictionMerriman Curhan Ford & Co. Dawson James Securities, Inc. As Representatives of the Several Underwriters c/o Merriman Curhan Ford & Co. 600 California Street, 9th Floor San Francisco, California 94108
Archemix Corp. Common Stock UNDERWRITING AGREEMENT dated [ ], 2007 Banc of America Securities LLC Bear, Stearns & Co. Inc.Underwriting Agreement • October 23rd, 2007 • Archemix Corp. • Pharmaceutical preparations • New York
Contract Type FiledOctober 23rd, 2007 Company Industry JurisdictionIntroductory. Archemix Corp., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule A (the “Underwriters”) an aggregate of [___] shares (the “Firm Shares”) of its Common Stock, par value $.001 per share (the “Common Stock”). In addition, the Company has granted to the Underwriters an option to purchase up to an additional [___] shares (the “Optional Shares”) of Common Stock, as provided in Section 2. The Firm Shares and, if and to the extent such option is exercised, the Optional Shares are collectively called the “Shares”. Banc of America Securities LLC (“BAS”) and Bear, Stearns & Co. Inc. (“Bear Stearns”) have agreed to act as representatives of the several Underwriters (in such capacity, the “Representatives”) in connection with the offering and sale of the Shares.
Shares Bioheart, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 6th, 2007 • Bioheart, Inc. • Services-commercial physical & biological research • New York
Contract Type FiledSeptember 6th, 2007 Company Industry JurisdictionMerriman Curhan Ford & Co. Dawson James Securities, Inc. As Representatives of the Several Underwriters 3 Times Square New York, New York 10036
CardioMEMS, Inc. Common Stock UNDERWRITING AGREEMENT dated [ ] Banc of America Securities LLC CIBC World Markets Corp. Jefferies & Company, Inc. Pacific Growth Equities LLCUnderwriting Agreement • April 19th, 2007 • Cardiomems Inc • Surgical & medical instruments & apparatus • New York
Contract Type FiledApril 19th, 2007 Company Industry Jurisdiction