Common Contracts
12 similar Underwriting Agreement contracts by Catalyst Biosciences, Inc., Volitionrx LTD, Advantage Insurance Inc., others
4,750,000 Units* AMERICA FIRST MULTIFAMILY INVESTORS, L.P. Beneficial Unit Certificates Representing Assigned Limited Partnership Interests UNDERWRITING AGREEMENTUnderwriting Agreement • September 28th, 2021 • America First Multifamily Investors, L.P. • Finance services • New York
America First Multifamily Investors, L.P., a Delaware limited partnership (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 5,462,500 Beneficial Unit Certificates representing Assigned Limited Partnership Interests in the Company (the “BUCs”). The aggregate of 4,750,000 BUCs to be purchased from the Company are called the “Firm Units.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 712,500 BUCs (the “Additional Units”) to cover over-allotments by the Underwriters, if any. The Firm Units and the Additional Units are collectively referred to in this Agreement as the “Units.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
4,615,384 Shares1 CATALYST BIOSCIENCES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 19th, 2020 • Catalyst Biosciences, Inc. • Pharmaceutical preparations • New York
Catalyst Biosciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 4,615,384 shares of its Common Stock, par value $0.001 per share (the “Common Stock”). The aggregate of 4,615,384 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 692,307 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
4,365,000 Shares* VOLITIONRX LIMITED Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 22nd, 2020 • Volitionrx LTD • In vitro & in vivo diagnostic substances • New York
VolitionRx Limited, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 4,365,000 shares of its Common Stock, par value $0.001 per share (the “Common Stock”). The aggregate of 4,365,000 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 654,750 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” National Securities Corporation is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
4,615,385 Shares1 CATALYST BIOSCIENCES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 14th, 2020 • Catalyst Biosciences, Inc. • Pharmaceutical preparations • New York
Catalyst Biosciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 4,615,385 shares of its Common Stock, par value $0.001 per share (the “Common Stock”). The aggregate of 4,615,385 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 692,307 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
3,100,000 Shares* CASELLA WASTE SYSTEMS, INC. Class A Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 24th, 2019 • Casella Waste Systems Inc • Refuse systems • New York
Casella Waste Systems, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 3,100,000 shares of its Class A Common Stock, par value $0.01 per share (the “Class A Common Stock”). The aggregate of 3,100,000 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 465,000 shares of Class A Common Stock (the “Additional Shares”). The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.” To the extent there are no additional Underwriters listed on Schedule I hereto other t
3,500,000 Shares* VOLITIONRX LIMITED Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 12th, 2018 • Volitionrx LTD • In vitro & in vivo diagnostic substances • New York
VolitionRx Limited, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of 3,500,000 shares of its Common Stock, par value $0.001 per share (the “Common Stock”). The aggregate of 3,500,000 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional 525,000 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Oppenheimer & Co. Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
●] Shares* ADVANTAGE INSURANCE INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 1st, 2017 • Advantage Insurance Inc. • Life insurance • New York
Advantage Insurance Inc., a corporation incorporated under the laws of Puerto Rico (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of [•] shares of its common stock, par value $0.01 per share (the “Common Stock”). The aggregate of [•] shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional [•] shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Raymond James & Associates, Inc. (“Raymond James”) is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
Shares* Avenue Therapeutics, Inc. Common Stock FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • June 23rd, 2017 • Avenue Therapeutics, Inc. • Pharmaceutical preparations • New York
Avenue Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of [__________] shares of its Common Stock, par value $0.0001 per share (the “Common Stock”). The aggregate of [_______] shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriters, upon the terms and conditions stated herein, up to an additional [________] shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriters, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.” Oppenheimer & Co. Inc. is acting as the representative of the several Underwriters and in such capacity is referred to in this Agreement as the “Representative.”
1,770,084 Shares SmartFinancial, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 25th, 2017 • Smartfinancial Inc. • National commercial banks • New York
SmartFinancial, Inc., a Tennessee corporation (the “Company”), proposes, subject to the terms and conditions set forth in this agreement (this “Agreement”), to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), and certain stockholders of the Company named in Schedule II hereto (collectively, the “Selling Shareholders,” and each a “Selling Shareholder”) severally and not jointly propose, subject to the terms and conditions stated herein, to sell to the Underwriters, an aggregate of 1,770,084 shares of the Company’s common stock, par value $1.00 per share (the “Common Stock), of which (a) 1,600,000 shares are to be issued and sold by the Company, and (b) 170,084 shares are to be sold by the Selling Shareholders, each Selling Shareholder selling the number of shares set forth opposite such Selling Shareholder’s name in Schedule II hereto. The aggregate of 1,770,084 shares to be purchased from the Company and the Selling Shareholders are called the
5,147,059 Shares* ASTERIAS BIOTHERAPEUTICS, INC. Series A Common Stock and Warrants to Purchase up to 2,573,530 Shares of Series A Common Stock* UNDERWRITING AGREEMENTUnderwriting Agreement • May 10th, 2016 • Asterias Biotherapeutics, Inc. • Biological products, (no disgnostic substances) • New York
Asterias Biotherapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several Underwriters named in Schedule I hereto (the “Underwriters”), an aggregate of (i) 5,147,059 shares (the “Firm Shares”) of its Series A Common Stock, par value $0.0001 per share (the “Common Stock”) and (ii) warrants to purchase 2,573,530 shares of Common Stock on the terms and conditions set forth in the Warrant Agreement (as defined herein) (the “Firm Warrants,” and together with the Firm Shares, the “Firm Securities”). All of the Firm Securities are to be issued and sold by the Company. 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 has agreed to sell to the Underwriters or Raymond James & Associates, Inc. (“Raymond James”), as the case may be, upon the terms and conditions stated herein, u
3,500,000 Shares CELADON GROUP, INC. UNDERWRITING AGREEMENT Common StockUnderwriting Agreement • May 29th, 2015 • Celadon Group Inc • Trucking (no local) • New York
Celadon Group, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Raymond James & Associates, Inc. (the “Underwriter”) shares of the Company’s common stock, par value $0.033 per share (the “Common Stock”). The aggregate of 3,500,000 shares to be purchased from the Company are called the “Firm Shares.” In addition, the Company has agreed to sell to the Underwriter, upon the terms and conditions stated herein, up to an additional 525,000 shares of Common Stock (the “Additional Shares”) to cover over-allotments by the Underwriter, if any. The Firm Shares and the Additional Shares are collectively referred to in this Agreement as the “Shares.”
] Shares Tennessee Commerce Bancorp, Inc. Common Stock FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • July 26th, 2010 • Tennessee Commerce Bancorp, Inc. • State commercial banks • New York
