Common Contracts
46 similar Underwriting Agreement contracts by Acelrx Pharmaceuticals Inc, Biocept Inc, CareDx, Inc., others
HIGHPEAK ENERGY, INC. UNDERWRITING AGREEMENT 12,900,000 Shares of Common StockUnderwriting Agreement • July 21st, 2023 • HighPeak Energy, Inc. • Drilling oil & gas wells • New York
HighPeak Energy, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this Underwriting Agreement (this “Agreement”), to issue and sell to Roth Capital Partners, LLC (the “Underwriter”), an aggregate of 12,900,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company also proposes, on the terms and subject to the conditions stated herein, to issue and sell to the Underwriter an aggregate of up to 1,935,000 additional shares of Common Stock (the “Additional Shares”), as may be necessary to cover over-allotments made in connection with the offering. The Firm Shares and Additional Shares are collectively referred to as the “Shares.”
•] Shares of Common Stock (or Pre-Funded Warrants to Purchase [•] Shares of Common Stock in Lieu Thereof) Warrants to Purchase [•] Shares of Common Stock BIOCEPT, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 23rd, 2023 • Biocept Inc • Services-medical laboratories • New York
Biocept, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which EF Hutton, division of Benchmark Investments, LLC is acting as representative (the “Representative”) (i) an aggregate of [•] authorized but unissued shares (the “Firm 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 $0.0001 per share (the “Pre-Funded Warrant Shares”), and (ii) warrants (the “Firm Warrants”) to purchase up to an aggregate of [•] shares of Common Stock (the “Firm Warrant Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth herein, up to an additional [•] shares of Common Stock (the “Option Shares” and,
•] Shares of Common Stock (or Pre-Funded Warrants to Purchase [•] Shares of Common Stock in Lieu Thereof) Warrants to Purchase [•] Shares of Common Stock BIOCEPT, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 15th, 2023 • Biocept Inc • Services-medical laboratories • New York
Biocept, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which EF Hutton, division of Benchmark Investments, LLC is acting as representative (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 $0.0001 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 pursua
1,325,000 Shares1 Duos Technologies Group, Inc. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • February 7th, 2022 • Duos Technologies Group, Inc. • Services-prepackaged software • New York
Duos Technologies Group, Inc., a Florida corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 1,325,000 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 Company has also granted to the Underwriters an option to purchase up to 198,750 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.”
23,000,000 Shares of Common Stock UPHEALTH, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 5th, 2021 • UpHealth, Inc. • Blank checks • New York
UpHealth, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Oppenheimer & Co. Inc., as representative (the “Representative”) of the several underwriters named in Schedule I hereto (each, an “Underwriter”), an aggregate of 23,000,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 3,450,000 shares (the “Option Shares”) of Common Stock. The Firm Shares and the Option Shares are collectively called the “Shares.”
Shares of Common Stock UPHEALTH, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 27th, 2021 • UpHealth, Inc. • Blank checks • New York
UpHealth, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Oppenheimer & Co. Inc., as representative (the “Representative”) of the several underwriters named in Schedule I hereto (each, an “Underwriter”), an aggregate of [_____] authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [_____] shares (the “Option Shares”) of Common Stock. The Firm Shares and the Option Shares are collectively called the “Shares.”
10,525,000 Shares1 Performant Financial Corporation Common Stock, par value $0.0001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • August 19th, 2021 • Performant Financial Corp • Services-miscellaneous business services • New York
Performant Financial Corporation, a Delaware corporation (the “Company”)”)propose to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 10,525,000 shares (the “Firm Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company has also granted to the Underwriters an option to purchase up to 1,578,750 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.” .
8,750,000 Shares1 Streamline Health Solutions, Inc. Common Stock, par value $0.01 per share UNDERWRITING AGREEMENTUnderwriting Agreement • March 2nd, 2021 • Streamline Health Solutions Inc. • Services-computer integrated systems design • New York
Streamline Health Solutions, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 8,750,000 shares (the “Firm Shares”) of Common Stock, par value $0.01 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 Company also has granted to the Underwriters an option to purchase up to 1,312,500 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.”
1,325,000 Shares OptimizeRx Corporation Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • February 10th, 2021 • OptimizeRx Corp • Services-business services, nec • New York
RBC CAPITAL MARKETS, LLC As Representatives of the several Underwriters named in Schedule I hereto c/o William Blair & Company, L.L.C. 150 North Riverside Plaza Chicago, Illinois 60606
2,200,000 Shares1 HyreCar Inc. Common Stock, $0.0001 par value per share UNDERWRITING AGREEMENTUnderwriting Agreement • February 4th, 2021 • HyreCar Inc. • Services-auto rental & leasing (no drivers) • New York
HyreCar Inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 2,200,000 shares (the “Firm Shares”) of Common Stock, $0.00001 par value 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 Company also has granted to the Underwriters an option to purchase up to 330,000 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”.
8,700,000 Shares of Common Stock Catalyst Biosciences, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • January 27th, 2021 • Catalyst Biosciences, Inc. • Pharmaceutical preparations • New York
Catalyst Biosciences, Inc., a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 8,700,000 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 1,305,000 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 “Shares.”
14,500,000 Shares ACELRX PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 21st, 2021 • Acelrx Pharmaceuticals Inc • Pharmaceutical preparations • New York
AcelRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 14,500,000 shares (the “Firm Shares”) of its common stock, $0.001 par value per share (the “Common Stock”). The Company has also granted to the several Underwriters an option to purchase up to 2,175,000 additional shares of Common Stock on the terms set forth in Section 3 hereof (the “Option Shares”). The Firm Shares and, if and to the extent such option is exercised, the Option Shares purchased pursuant to this Underwriting Agreement (this “Agreement”) are herein collectively called the “Securities.”
●] Shares1 Motorsport Games Inc. Class A Common Stock, par value $0.0001 per share FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • December 31st, 2020 • Motorsport Gaming Us LLC • Services-prepackaged software • New York
Motorsport Games Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of [●] shares (the “Firm Shares”) of Class A common stock, par value $0.0001 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 Company also proposes to grant 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 Underwriting Agreement (this “Agreement”) are herein collectively called the “Securities.”
1,538,461 Shares1 Intellicheck, Inc. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • June 23rd, 2020 • Intellicheck, Inc. • Services-prepackaged software • New York
Intellicheck, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 1,538,461 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 Company also proposes to grant to the several Underwriters an option to purchase up to 230,769 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.”
EX-1.1 2 a2235991zex-1_1.htm EX-1.1 [·] Common Units, Each Consisting of One Share of Common Stock and a Warrant to Purchase One Share of Common StockUnderwriting Agreement • May 5th, 2020 • New York
[·] Pre-Funded Units, Each Consisting of a Pre-Funded Warrant to Purchase One Share of Common Stock and a Warrant to Purchase One Share of Common Stock
7,692,308 Shares Series A Warrants to Purchase 7,692,308 Shares Series B Warrants to Purchase 7,692,308 Shares BAUDAX BIO, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • March 24th, 2020 • Baudax Bio, Inc. • Services-misc health & allied services, nec • New York
or other transactions would include without limitation any short sale or any purchase, sale or grant of any right (including without limitation any put or call option) with respect to 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.
Voting Common Shares, without par value UNDERWRITING AGREEMENTUnderwriting Agreement • February 13th, 2020 • DiaMedica Therapeutics Inc. • Pharmaceutical preparations • New York
DiaMedica Therapeutics Inc., a company organized under the laws of British Columbia, Canada (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 2,125,000 shares (the “Firm Shares”) of voting common shares, without par value (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 Company also proposes to grant to the several Underwriters an option to purchase up to zero 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 (the “Agreement”) are herein collectively called the “Securities.”
4,600,000 Shares of Common Stock CATABASIS PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • January 30th, 2020 • 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 4,600,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.001 per share, of the Company (the “Common Stock”). In addition, the Company proposes to grant to the Underwriter an option to purchase up to an additional 690,000 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called “Shares.”
4,800,000 Shares1 Akoustis Technologies, Inc. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • December 16th, 2019 • Akoustis Technologies, Inc. • Telephone & telegraph apparatus • New York
Akoustis Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 4,800,000 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 Company also proposes to grant to the several Underwriters an option to purchase up to 720,000 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 (the “Agreement”) are herein collectively called the “Securities.”
IZEA Worldwide, Inc. Common Stock, par value $0.0001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • May 1st, 2019 • IZEA Worldwide, Inc. • Services-advertising • New York
IZEA Worldwide, Inc., a Nevada corporation (the "Company"), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the "Underwriters") an aggregate of [•] shares (the "Firm Shares") of Common Stock, par value $0.0001 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 Company also proposes to grant 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 Underwriting Agreement (this "Agreement") are herein collectively called the "Securities."
12,698,412 Shares ACELRX PHARMACEUTICALS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 13th, 2018 • Acelrx Pharmaceuticals Inc • Pharmaceutical preparations • New York
AcelRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 12,698,412 shares (the “Firm Shares”) of its common stock, $0.001 par value per share (the “Common Stock”). The Company has also granted to the several Underwriters an option to purchase up to 1,904,761 additional shares of Common Stock on the terms set forth in Section 3 hereof (the “Option Shares”). The Firm Shares and, if and to the extent such option is exercised, the Option Shares purchased pursuant to this Underwriting Agreement (this “Agreement”) are herein collectively called the “Securities.”
Chembio Diagnostics, Inc. Common Stock, par value $0.01 per share UNDERWRITING AGREEMENTUnderwriting Agreement • November 5th, 2018 • Chembio Diagnostics, Inc. • Pharmaceutical preparations • New York
Chembio Diagnostics, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 2,370,435 shares (the “Firm Shares”) of common stock, par value $0.01 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 Company also proposes to grant to the Underwriters an option to purchase up to 355,565 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 are herein collectively called the “Securities.”
1,407,333 Shares IZEA Worldwide, Inc. Common Stock, par value $0.0001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • September 19th, 2018 • IZEA Worldwide, Inc. • Services-advertising • New York
IZEA Worldwide, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 1,407,333 shares (the “Firm Shares”) of Common Stock, par value $0.0001 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 Company also proposes to grant to the several Underwriters an option to purchase up to zero 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 (the “Agreement”) are herein collectively called the “Securities.”
806,451 Shares1 Issuer Direct Corporation Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • August 17th, 2018 • Issuer Direct Corp • Commercial printing • New York
Issuer Direct Corporation, a Delaware corporation (the “Company”), proposes to sell to Northland Securities, Inc. (“you” or the “Underwriter”), an aggregate of 806,451 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 Company also has granted to the Underwriter an option to purchase up to 120,967 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.”
Units Each Unit Consisting of One Share of Common Stock and One Warrant to Purchase One Share of Common StockUnderwriting Agreement • July 20th, 2018 • Nexeon Medsystems Inc • Electromedical & electrotherapeutic apparatus • New York
Units Each Unit Consisting of One Share of Common Stock and One Warrant to Purchase One Half Share of Common StockUnderwriting Agreement • July 19th, 2018 • Nexeon Medsystems Inc • Electromedical & electrotherapeutic apparatus • New York
Nexeon Medsystems Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule VI hereto (the “Underwriters”), for whom National Securities Corporation is acting as representative (the “Representative”), (i) an aggregate of _________ 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 (the “Firm Warrants”) to purchase an aggregate of _________ authorized but unissued shares of Common Stock of the Company (the “Firm Warrant Shares”). In addition, the Company proposes to grant to the Underwriters the option to purchase from the Company, up to (i) an additional _______ shares of Common Stock of the Company (the “Additional Shares”) and (ii) warrants (the “Additional Warrants”) to purchase up to an additional ______ shares of Common Stock of the Company (the “Additional Warrant Shares”). The Fir
3,556,000 Shares IZEA, Inc. Common Stock, par value $0.0001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • June 29th, 2018 • IZEA, Inc. • Services-advertising • New York
IZEA, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 3,556,000 shares (the “Firm Shares”) of Common Stock, par value $0.0001 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 Company also proposes to grant to the several Underwriters an option to purchase up to zero 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 (the “Agreement”) are herein collectively called the “Securities.”
2,727,272 Shares1 Limoneira Company Common Stock, par value $0.01 per share UNDERWRITING AGREEMENTUnderwriting Agreement • June 25th, 2018 • Limoneira CO • Agricultural production-crops • New York
Limoneira Company, a Delaware corporation (the “Company”), proposes to sell to the several Underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 2,727,272 shares (the “Firm Shares”) of common stock, par value $0.01 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 Company also has granted to the several Underwriters an option to purchase up to 409,090 additional shares of Common Stock on the terms 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.”
CATABASIS PHARMACEUTICALS, INC. FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • June 12th, 2018 • 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 representative (the “Representative”) of the several underwriters named in Schedule I hereto (each, an “Underwriter”), (i) an aggregate of [·] authorized but unissued shares (the “Shares”) of Common Stock, par value $0.001 per share, of the Company (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase up to an aggregate of [·] shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrant Shares”), and (iii) warrants (the “Warrants”) to purchase up to an aggregate of [·] shares of Common Stock (the “Warrant Shares”). The Shares, the Warrants, the Pre-Funded Warrants, the Pre-Funded Warrant Shares and the Warrant Shares are collectively referred to as the “Securities.”
Common Units (Each Containing One Share of Common Stock and One Warrant to Purchase ______ Share[s] of Common Stock)Underwriting Agreement • March 20th, 2018 • Pulmatrix, Inc. • Pharmaceutical preparations • New York
______ Pre-Funded Units (Each Containing One Pre-Funded Warrant to Purchase One Share of Common Stock and One Warrant to Purchase ______ Share[s] of Common Stock)
5,000,000 Shares of Common Stock Warrants to Purchase 3,500,000 Shares of Common Stock (Exercisable for 3,500,000 Shares of Common Stock) DARÉ BIOSCIENCE, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 13th, 2018 • Dare Bioscience, Inc. • Pharmaceutical preparations • New York
Daré Bioscience, 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”) (i) an aggregate of 5,000,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.0001 per share of the Company (the “Common Stock”) and (ii) warrants (the “Firm Warrants”) to purchase up to an aggregate of 3,500,000 shares of Common Stock of the Company (the “Firm Warrant Shares”). The Company also proposes, subject to the terms and conditions set forth herein, to issue and sell to the Underwriter an aggregate of up to (i) 750,000 shares of Common Stock (the “Additional Shares”) and/or (ii) warrants (the “Additional Warrants”) to purchase up to 525,000 shares of Common Stock of the Company (the “Additional Warrant Shares” and, together with the Firm Warrant Shares, the “Warrant Shares”), as may be necessary to cover over-allotments made in connection with the offering
11,250,000 Shares1 Fusion Telecommunications International, Inc. Common Stock, par value $0.01 per share UNDERWRITING AGREEMENTUnderwriting Agreement • February 1st, 2018 • Fusion Telecommunications International Inc • Services-prepackaged software • New York
Fusion Telecommunications International, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 11,250,000 shares (the “Firm Shares”) of common stock, par value $0.01 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 Company also proposes to grant to the Underwriters an option to purchase up to 1,687,500 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 are herein collectively called the “Securities.”
BIOPHARMX CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • November 9th, 2017 • BioPharmX Corp • Pharmaceutical preparations • New York
BioPharmX Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Oppenheimer & Co. Inc., as representative (the “Representative”) of the several underwriters named in Schedule I hereto (each, the “Underwriter”), (i) an aggregate of 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 shares of Common Stock (the “Warrant Shares”). The Shares, Warrants and Warrant Shares are collectively referred to as the “Securities.”
4,341,600 Shares1 CAREDX, INC. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • October 5th, 2017 • CareDx, Inc. • Services-medical laboratories • New York
CareDx, Inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of 4,341,600 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 Company also has granted to the several Underwriters an option to purchase up to 651,240 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.”
●] Shares1 CAREDX, INC. Common Stock, par value $0.001 per share UNDERWRITING AGREEMENTUnderwriting Agreement • September 29th, 2017 • CareDx, Inc. • Services-medical laboratories • New York
CareDx, Inc., a Delaware corporation (the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”) 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 Company also has 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 Underwriting Agreement (this “Agreement”) are herein collectively called the “Securities.”
