Common Contracts
15 similar Underwriting Agreement contracts by KIT Digital, Inc., Active Power Inc, AmpliPhi Biosciences Corp, others
VENUS CONCEPT INC. UNDERWRITING AGREEMENT 11,250,000 Shares of Common Stock Warrants to Purchase up to 5,625,000 Shares of Common StockUnderwriting Agreement • December 23rd, 2020 • Venus Concept Inc. • Surgical & medical instruments & apparatus • New York
Venus Concept 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,” or each, an “Underwriter”), for whom Oppenheimer & Co. Inc. is acting as the representative (the “Representative”), an aggregate of (i) 11,250,000 authorized but unissued shares (the “Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), and (ii) warrants to purchase 5,625,000 shares of Common Stock in the form attached hereto as Exhibit B (the “Warrants,” and together with the Shares, the “Securities”), of the Company. The shares of Common Stock underlying the Warrants are referred to herein as the “Warrant Shares.”
•] Shares of Common Stock and Pre-Funded Warrants to Purchase [•] Shares of Common Stock AMPLIPHI BIOSCIENCES CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • September 18th, 2018 • AmpliPhi Biosciences Corp • Biological products, (no disgnostic substances) • New York
AmpliPhi Biosciences Corporation, a Washington corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to H.C. Wainwright & Co., LLC, 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 “Firm Shares”) of Common Stock, par value $0.01 per share, of the Company (the “Common Stock”) and (ii) pre-funded warrants (the “Pre-Funded Warrants” and collectively with the Firm Shares, the “Firm Securities”) to purchase up to an aggregate of [•] shares of Common Stock at an exercise price of $0.01 per share (the “Warrant Shares”). The respective amounts of the Firm Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional [•] shares of Common Stock (the “O
MARRONE BIO INNOVATIONS, inc. COMMON STOCK UNDERWRITING AGREEMENTUnderwriting Agreement • April 18th, 2018 • Marrone Bio Innovations Inc • Agricultural chemicals • New York
Marrone Bio Innovations, 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 VI hereto (the “Underwriters”), for whom National Securities Corporation is acting as representative (the “Representative”), an aggregate of 7,275,000 authorized but unissued shares (the “Firm Shares”) and, at the election of the Underwriters, upon the terms and conditions stated herein, up to 1,091,250 additional shares (the “Additional Shares”) of Common Stock, $0.00001 par value per share (the “Common Stock”), of the Company (the Firm Shares and the Additional Shares that the Underwriters elect to purchase pursuant to Section 3 hereof being collectively called the “Securities”).
HEAT BIOLOGICS, INC. [●] Shares of Common Stock and Warrants to Purchase Up to [●] Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 15th, 2016 • Heat Biologics, Inc. • Pharmaceutical preparations • New York
Heat Biologics, 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,” or each, an “Underwriter”), for whom Roth Capital Partners, LLC and Aegis Capital Corporation are acting as the representatives (the “Representatives”), an aggregate of [●] shares (the “Shares”) of common stock, par value $0.0002 per share (the “Common Stock”), of the Company and warrants (the “Warrants”) to purchase up to [●] shares of Common Stock (the “Warrant Shares”) at an exercise price of $[●] per share. Each Share is being sold together with 0.50 of a Warrant to purchase one Warrant Share. The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities”.
UNDERWRITING AGREEMENTUnderwriting Agreement • March 4th, 2015 • Xplore Technologies Corp • Computer & office equipment • New York
Xplore Technologies Corp., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell (the “Offering”) to Roth Capital Partners, LLC (“Roth” or the “Underwriter”), an aggregate of 2,000,000 authorized but unissued shares (the “Underwritten Shares”) of the Company’s common stock, par value $0.001 (the “Common Stock”). The Company has granted the Underwriter the option to purchase an aggregate of up to 300,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the Offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.”
FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • December 17th, 2014 • Soligenix, Inc. • Pharmaceutical preparations • New York
Soligenix, 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”), as the representative of the several underwriters listed on Schedule I hereto, an aggregate of ● units (the “Units”), each Unit consisting of (i) one share (collectively, the “Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company, and (ii) ● of a warrant (collectively, the “Warrants”), each to purchase one share of Common Stock (collectively, the “Warrant Shares”). The Units, the Shares, the Warrants, the Warrant Shares, the Underwriter Warrants (as defined below) and the Underwriter Warrant Shares (as defined below) are collectively referred to as the “Securities”. The Units will not be certificated. The Shares and the Warrants will be separately issued and will be immediately separable and transferable upon issuance. The terms of the Warrants are set forth in the f
3,175,000 Shares ACTIVE POWER, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 27th, 2014 • Active Power Inc • Electric services • California
Active Power, 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”), an aggregate of 3,175,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriter an aggregate of up to 476,250 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.”
KIT DIGITAL, INC. 3,200,000 Shares of Common Stock (Plus an Option to Purchase up to 480,000 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • September 16th, 2011 • KIT Digital, Inc. • Services-services, nec • New York
KIT digital, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to you and each of the other Underwriters named in Schedule IV hereto (collectively, the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of 3,200,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 480,000 additional shares of the Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering of the Underwritten Shares. The Underwritten Shares and the Additional Shares are collectively referred to as the “Shares.”
BRAINSWAY LTD. 1,150,000 ORDINARY SHARES AND WARRANTS TO PURCHASE 766,667 ORDINARY SHARES UNDERWRITING AGREEMENTUnderwriting Agreement • May 31st, 2011 • Brainsway Ltd. • Surgical & medical instruments & apparatus • New York
Brainsway Ltd., a company organized and existing under the laws of the State of Israel, public company number 513890764 (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (collectively, the “Underwriters”), for whom Roth Capital Partners, LLC is acting as representative (in such capacity, the “Representative”), an aggregate of (i) 1,000,000 Ordinary Shares (the “Firm Shares”), par value NIS 0.04 per share (the “Ordinary Shares”), of the Company and (ii) warrants (the “Firm Warrants”) to purchase up to 666,667 Ordinary Shares (the “Firm Warrant Shares”). The Company has granted the Underwriters the option to purchase an aggregate of (i) up to 150,000 Ordinary Shares (the “Option Shares”) and/or (ii) warrants (the “Option Warrants”) to purchase up to 100,000 Ordinary Shares (the “Option Warrant Shares” and, together with the Firm Warrant Shares, the “Warrant Shares”) as may be necessary to cover o
2,460,000 Shares 2,460,000 Warrants MEDGENICS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 11th, 2011 • Medgenics, Inc. • Biological products, (no disgnostic substances) • California
Medgenics, 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 Roth Capital Partners, LLC is acting as representative (the "Representative"), an aggregate of (i) 2,460,000 authorized but unissued shares (the “Firm Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company and (ii) warrants (the "Firm Warrants") to purchase up to 2,460,000 shares of Common Stock of the Company (the "Firm Warrant Shares"). The Company has granted the Underwriters the option to purchase an aggregate of up to (i) 369,000 authorized but unissued shares of Common Stock (the “Option Shares”) and (ii) warrants (the "Option Warrants") to purchase up to 369,000 shares of Common Stock of the Company (the "Option Warrant Shares" and together with the Firm Warrant Shares, the "Warrant Shares") as may be necessary to cover over-allotment
2,000,000 Units GAME TRADING TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 4th, 2011 • Game Trading Technologies, Inc. • Services-educational services • California
Game Trading Technologies Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters set forth on Schedule I hereto (the “Underwriters”) for whom Roth Capital Partners, LLC is acting as representative (the “Representative”), an aggregate of 2,000,000 units, each unit consisting of one (1) share of common stock, par value $.001 per share (the “Common Stock”), or 2,000,000 shares in the aggregate, and 0.5 of a warrant to purchase one (1) share of Common Stock, or 1,000,000 warrants in the aggregate (the “Firm Warrants”), of the Company (each, a “Firm Unit” and collectively, the “Firm Units”). The Company has granted to the Underwriters an option to purchase up to an 300,000 units (each, an “Additional Unit” and collectively, the “Additional Units”), with each Additional Unit consisting of one (1) share of Common Stock and 0.5 of a warrant to purchase one (1) share of Common Stock (the “Additional Warran
KIT DIGITAL, INC. 8,000,000 Shares of Common Stock (Plus an Option to Purchase up to 1,200,000 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • November 19th, 2010 • KIT Digital, Inc. • Services-services, nec • New York
KIT digital, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC and each of the other Underwriters named in Schedule IV hereto (collectively, the “Underwriters”) an aggregate of 8,000,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 1,200,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.” Roth Capital Partners, LLC shall act as the representative (the “Representative”) of the several Underwriters.
3,600,000 Shares YUHE INTERNATIONAL, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 20th, 2010 • Yuhe International, Inc. • Poultry slaughtering and processing • New York
Yuhe International, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule A hereto (collectively, the “Underwriters” or each, an “Underwriter”), on a several and not joint basis, an aggregate of 3,600,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 540,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.” Roth Capital Partners, LLC (“Roth”) is acting as representative of the several Underwriters and in such capacity is hereinafter referred to as the “Representative.”
KIT DIGITAL, INC. 4,230,770 Shares of Common Stock (Plus an Option to Purchase up to 634,615 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • April 23rd, 2010 • KIT Digital, Inc. • Services-services, nec • New York
KIT digital, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC and each of the other Underwriters named in Schedule IV hereto (collectively, the “Underwriters”) an aggregate of 4,230,770 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 634,615 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.” Roth Capital Partners, LLC shall act as the representative (the “Representative”) of the several Underwriters.
KIT DIGITAL, INC. 2,980,000 Shares of Common Stock (Plus an Option to Purchase up to 447,000 Shares to Cover Overallotments) UNDERWRITING AGREEMENTUnderwriting Agreement • January 21st, 2010 • KIT Digital, Inc. • Services-services, nec • New York
KIT digital, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC ("RCP") and each of the other Underwriters named in Schedule I hereto (collectively with RCP, the “Underwriters”) an aggregate of 2,980,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 447,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and Additional Shares are collectively referred to as the “Shares.” Roth Capital Partners, LLC shall act as the representative (the “Representative”) of the several Underwriters.
