●] Shares Liquid Holdings Group, Inc. Common Stock par value $0.0001 per share Underwriting AgreementUnderwriting Agreement • April 30th, 2014 • Liquid Holdings Group, Inc. • Services-prepackaged software • New York
Contract Type FiledApril 30th, 2014 Company Industry JurisdictionLiquid Holdings Group, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom JMP Securities LLC is acting as representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 per share (the “Stock”). At the election of the Underwriters, the Company proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters up to [●] additional shares of Stock (the “Optional Shares”) (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
•] Shares Liquid Holdings Group, Inc. Common Stock par value $0.0001 per share Underwriting AgreementUnderwriting Agreement • July 24th, 2013 • Liquid Holdings Group, Inc. • Services-prepackaged software • New York
Contract Type FiledJuly 24th, 2013 Company Industry JurisdictionLiquid Holdings Group, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom Sandler O’Neill & Partners, L.P. is acting as representative (the “Representative”), an aggregate of [•] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 per share (the “Stock”). At the election of the Underwriters, the Company proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters up to [•] additional shares of Stock (the “Optional Shares”) (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
] Shares Silvercrest Asset Management Group Inc. Class A Common Stock par value $0.01 per share Underwriting AgreementUnderwriting Agreement • June 17th, 2013 • Silvercrest Asset Management Group Inc. • Investment advice • New York
Contract Type FiledJune 17th, 2013 Company Industry JurisdictionSilvercrest Asset Management Group Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of [ ] shares (the “Firm Shares”) and, at the election of the Underwriters, up to [ ] additional shares (the “Optional Shares”) of the Class A common stock, par value $0.01 per share (“Class A Shares”), of the Company (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
Shares Silvercrest Asset Management Group Inc. Class A Common Stock par value $0.01 per share Underwriting AgreementUnderwriting Agreement • November 9th, 2012 • Silvercrest Asset Management Group Inc. • Investment advice • New York
Contract Type FiledNovember 9th, 2012 Company Industry JurisdictionSilvercrest Asset Management Group Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of shares (the “Firm Shares”) and, at the election of the Underwriters, up to additional shares (the “Optional Shares”) of the Class A common stock, par value $0.01 per share (“Class A Shares”), of the Company (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
Shares Silvercrest Asset Management Group Inc. Class A Common Stock par value $0.01 per share Underwriting AgreementUnderwriting Agreement • November 7th, 2012 • Silvercrest Asset Management Group Inc. • Investment advice • New York
Contract Type FiledNovember 7th, 2012 Company Industry JurisdictionSilvercrest Asset Management Group Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of shares (the “Firm Shares”) and, at the election of the Underwriters, up to additional shares (the “Optional Shares”) of the Class A common stock, par value $0.01 per share (“Class A Shares”), of the Company (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
Shares PAB Bankshares, Inc. Common Stock no par value per share Underwriting AgreementUnderwriting Agreement • May 11th, 2010 • Pab Bankshares Inc • State commercial banks • New York
Contract Type FiledMay 11th, 2010 Company Industry JurisdictionPAB Bankshares, Inc., a Georgia corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters named in Schedule I hereto (the “Underwriters”), for whom Sandler O’Neill & Partners, L.P. is acting as representative (the “Representative”), an aggregate of shares (the “Firm Shares”) and, at the election of the Underwriters, up to additional shares (the “Optional Shares”) of the common stock, no par value per share (“Stock”) of the Company (the Firm Shares and the Optional Shares that the Underwriters elect to purchase pursuant to Section 2 hereof are herein collectively called the “Shares”).
2,500,000 Units Velocity Portfolio Group, Inc. Underwriting AgreementUnderwriting Agreement • February 10th, 2009 • Velocity Portfolio Group Inc • Short-term business credit institutions • New York
Contract Type FiledFebruary 10th, 2009 Company Industry JurisdictionSandler O’Neill & Partners, L.P., GunnAllen Financial, Inc. Maxim Group, LLC c/o Sandler O’Neill & Partners, L.P. as Representatives of the several Underwriters named in Schedule I hereto, 919 Third Avenue, 6th Floor, New York, New York 10022