ENDRA LIFE SCIENCES INC. Common Stock (par value $0.0001 per share) At-The- Market Issuance Sales AgreementENDRA Life Sciences Inc. • February 14th, 2024 • Electromedical & electrotherapeutic apparatus • New York
Company FiledFebruary 14th, 2024 Industry JurisdictionENDRA Life Sciences Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Ascendiant Capital Markets, LLC and the other sales agents set forth on Annex 1 hereto (each, an “Agent” and, collectively, the “Agents”), as follows:
CURIS, INC. Common Stock ($0.01 par value per share) Amended and Restated Sales AgreementCuris Inc • February 8th, 2024 • Biological products, (no disgnostic substances) • New York
Company FiledFebruary 8th, 2024 Industry JurisdictionCuris, Inc., a Delaware corporation (the “Company”) and Cantor Fitzgerald & Co. (“Cantor”) and JonesTrading Institutional Services LLC (“JonesTrading”; each of Cantor and JonesTrading individually an “Agent” and collectively, the “Agents”) are parties to that certain Sales Agreement, dated March 16, 2021, as amended by Amendment No. 1 to Sales Agreement, dated August 12, 2022 (together, the “Original Agreement”). Each of the Agents and the Company desire to amend and restate the Original Agreement as set forth in this agreement (the “Agreement”), and hereby agree as follows:
Enlivex Therapeutics Ltd. Ordinary Shares (par value NIS0.40 per share) Controlled Equity OfferingSM Sales AgreementEnlivex Therapeutics Ltd. • December 30th, 2022 • Pharmaceutical preparations • New York
Company FiledDecember 30th, 2022 Industry JurisdictionEnlivex Therapeutics Ltd., a company organized under the laws of the State of Israel (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. and JMP Securities LLC (collectively, the “Agents”), as follows:
SACHEM CAPITAL CORP. Common Stock ($0.001 par value per share) At Market Issuance Sales AgreementSachem Capital Corp. • December 7th, 2021 • Real estate investment trusts • New York
Company FiledDecember 7th, 2021 Industry JurisdictionSachem Capital Corp., a New York corporation (the “Company”), confirms its agreement (this “Agreement”), with Ladenburg Thalmann & Co (“Ladenburg”) and Janney Montgomery Scott LLC (“Janney”, each of Ladenburg and Janney, individually an “Agent” and collectively, the “Agents”), as follows:
AEMETIS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementAemetis, Inc • October 1st, 2020 • Industrial organic chemicals • New York
Company FiledOctober 1st, 2020 Industry JurisdictionAemetis, Inc., a Nevada corporation (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (“HCW”) and Roth Capital Partners, LLC (“ROTH”; each of HCW and ROTH individually a “Distribution Agent” and collectively the “Distribution Agents”) as follows:
EX-10.1 2 d30339_ex10-1.htm EX-10.1 EXECUTION VERSION BIODEL INC. Common Stock (par value $0.01 per share) At-the-Market Issuance Sales Agreement May 13, 2013New York • May 5th, 2020
Jurisdiction FiledMay 5th, 2020
SACHEM CAPITAL CORP. Common Stock ($0.001 par value per share) At Market Issuance Sales AgreementSachem Capital Corp. • July 2nd, 2019 • Real estate investment trusts • New York
Company FiledJuly 2nd, 2019 Industry JurisdictionSachem Capital Corp., a New York corporation (the “Company”), confirms its agreement (this “Agreement”), with Janney Montgomery Scott LLC (“Janney”) and Ladenburg Thalmann & Co (“Ladenburg”, each of Janney and Ladenburg, individually an “Agent” and collectively, the “Agents”), as follows:
At Market Issuance Sales AgreementConatus Pharmaceuticals Inc. • August 2nd, 2018 • Pharmaceutical preparations • New York
Company FiledAugust 2nd, 2018 Industry JurisdictionConatus Pharmaceuticals Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Stifel, Nicolaus & Company, Incorporated (“Stifel”), as follows:
par value $0.01 per share) At Market Issuance Sales AgreementITUS Corp • September 29th, 2017 • Patent owners & lessors • New York
Company FiledSeptember 29th, 2017 Industry JurisdictionITUS Corporation, a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) as follows:
PARKERVISION, INC.Parkervision Inc • August 14th, 2017 • Radio & tv broadcasting & communications equipment • New York
Company FiledAugust 14th, 2017 Industry JurisdictionParkerVision, Inc., a Florida corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) as follows:
AT MARKET ISSUANCE SALES AGREEMENTSpectrum Pharmaceuticals Inc • August 4th, 2017 • Pharmaceutical preparations • New York
Company FiledAugust 4th, 2017 Industry JurisdictionSpectrum Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co. LLC (“HCW”), FBR Capital Markets & Co. (“FBR”) and MLV & Co. LLC (“MLV”, each of HCW, FBR and MLV, individually a “Distribution Agent” and collectively, the “Distribution Agents”) as follows:
ACTINIUM PHARMACEUTICALS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementActinium Pharmaceuticals, Inc. • March 16th, 2017 • Pharmaceutical preparations • New York
Company FiledMarch 16th, 2017 Industry Jurisdiction
At Market Issuance Sales AgreementParkervision Inc • December 30th, 2016 • Radio & tv broadcasting & communications equipment • New York
Company FiledDecember 30th, 2016 Industry JurisdictionParkerVision, Inc., a Florida corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) as follows:
At Market Issuance Sales AgreementCustomers Bancorp, Inc. • August 11th, 2016 • State commercial banks • New York
Company FiledAugust 11th, 2016 Industry JurisdictionCustomers Bancorp, Inc., a Pennsylvania corporation (the "Company"), confirms its agreement (this "Agreement"), with FBR Capital Markets & Co. ("FBR"), Keefe, Bruyette & Woods, Inc. ("KBW") and Maxim Group LLC ("Maxim", each of FBR, KBW and Maxim, individually a "Distribution Agent", collectively, the "Distribution Agents") as follows:
At Market Issuance Sales AgreementEco-Stim Energy Solutions, Inc. • July 14th, 2016 • Oil & gas field services, nec • New York
Company FiledJuly 14th, 2016 Industry Jurisdiction
BELLEROPHON THERAPEUTICS, INC.Bellerophon Therapeutics, Inc. • May 27th, 2016 • Pharmaceutical preparations • New York
Company FiledMay 27th, 2016 Industry JurisdictionBellerophon Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) and MLV & Co. LLC (“MLV”, each of FBR and MLV individually a “Distribution Agent” and collectively the “Distribution Agents”) as follows:
FORM OF ECO-STIM ENERGY SOLUTIONS, INC. Common Stock (par value $0.001 per share)Eco-Stim Energy Solutions, Inc. • May 3rd, 2016 • Oil & gas field services, nec • New York
Company FiledMay 3rd, 2016 Industry Jurisdiction
AEMETIS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementAemetis, Inc • March 29th, 2016 • Industrial organic chemicals • New York
Company FiledMarch 29th, 2016 Industry JurisdictionAemetis, Inc., a Nevada corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) and MLV & Co. LLC (“MLV”; each of FBR and MLV individually a “Distribution Agent” and collectively the “Distribution Agents”) as follows:
AMYRIS, INC. Common Stock (par value $0.0001 per share) At Market Issuance Sales AgreementAmyris, Inc. • March 9th, 2016 • Industrial organic chemicals • New York
Company FiledMarch 9th, 2016 Industry JurisdictionAmyris, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”) and MLV & Co. LLC (“MLV”, each of FBR and MLV individually a “Distribution Agent” and collectively the “Distribution Agents”) as follows:
At Market Issuance Sales AgreementCustomers Bancorp, Inc. • December 23rd, 2015 • State commercial banks • New York
Company FiledDecember 23rd, 2015 Industry JurisdictionCustomers Bancorp, Inc., a Pennsylvania corporation (the "Company"), confirms its agreement (this "Agreement"), with FBR Capital Markets & Co. ("FBR"), MLV & Co. LLC ("MLV") and Maxim Group LLC ("Maxim", each of FBR, MLV and Maxim, individually a "Distribution Agent", collectively, the "Distribution Agents") as follows:
AT MARKET ISSUANCE SALES AGREEMENTSpectrum Pharmaceuticals Inc • December 23rd, 2015 • Pharmaceutical preparations • New York
Company FiledDecember 23rd, 2015 Industry JurisdictionSpectrum Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with FBR Capital Markets & Co. (“FBR”), MLV & Co. LLC (“MLV”), and H.C. Wainwright & Co. LLC (“HCW”, each of FBR, MLV, and HCW, individually a “Distribution Agent” and collectively, the “Distribution Agents”) as follows:
At Market Issuance Sales AgreementBiota Pharmaceuticals, Inc. • October 2nd, 2015 • Biological products, (no disgnostic substances) • New York
Company FiledOctober 2nd, 2015 Industry JurisdictionBiota Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”), with MLV & Co. LLC (“MLV”) and FBR Capital Markets & Co. (“FBR”; each of MLV and FBR individually a “Distribution Agent” and collectively the “Distribution Agents”) as follows:
At-the-Market Issuance Sales AgreementAnadigics Inc • August 26th, 2015 • Semiconductors & related devices • New York
Company FiledAugust 26th, 2015 Industry Jurisdiction
KINGOLD JEWELRY, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales AgreementKingold Jewelry, Inc. • November 19th, 2014 • Services-business services, nec • New York
Company FiledNovember 19th, 2014 Industry JurisdictionKingold Jewelry, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”), with MLV & Co. LLC (“MLV”), as follows:
At Market Issuance Sales AgreementPizza Inn Holdings, Inc /Mo/ • October 1st, 2014 • Wholesale-groceries & related products • New York
Company FiledOctober 1st, 2014 Industry JurisdictionPizza Inn Holdings, Inc., a Missouri corporation (the “Company”), confirms its agreement (this “Agreement”), with MLV & Co. LLC (“MLV”), as follows:
INSPIREMD, INC. Common Stock (par value $0.0001 per share) At-the-Market Issuance Sales AgreementInspireMD, Inc. • October 24th, 2013 • Surgical & medical instruments & apparatus • New York
Company FiledOctober 24th, 2013 Industry Jurisdiction
ACURA PHARMACEUTICALS, INC. Common Stock (par value $0.01 per share) At Market Issuance Sales AgreementAcura Pharmaceuticals, Inc • April 18th, 2013 • Pharmaceutical preparations • New York
Company FiledApril 18th, 2013 Industry JurisdictionAcura Pharmaceuticals, Inc., a New York corporation (the “Company”), confirms its agreement (this “Agreement”), with MLV & Co. LLC (“MLV”), as follows:
At Market Issuance Sales AgreementPluristem Therapeutics Inc • December 26th, 2012 • Biological products, (no disgnostic substances) • New York
Company FiledDecember 26th, 2012 Industry JurisdictionPluristem Therapeutics Inc., a Nevada corporation (the “Company”), confirms its agreement (this “Agreement”), with MLV & Co. LLC (“MLV”), as follows:
PARAMOUNT GOLD AND SILVER CORP. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement June 23, 2011Paramount Gold & Silver Corp. • June 27th, 2011 • Metal mining • New York
Company FiledJune 27th, 2011 Industry JurisdictionParamount Gold and Silver Corp., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with McNicoll, Lewis & Vlak LLC (the “MLV”), as follows: