2,687,500 Shares CAPRICOR THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 16th, 2016 • Capricor Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledSeptember 16th, 2016 Company Industry JurisdictionCapricor Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of 2,687,500 shares (the “Firm Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”). The respective amounts of the Firm Shares 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 403,125 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 the “Shares.”
] Shares HEMOSENSE, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • May 31st, 2005 • Hemosense Inc • Surgical & medical instruments & apparatus • New York
Contract Type FiledMay 31st, 2005 Company Industry JurisdictionHemosense, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions contained herein, to sell to the several underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Lazard Capital Markets LLC, W.R. Hambrecht + Co., LLC and Roth Capital Partners, LLC are acting as representatives (the “Representatives”), an aggregate of [ ] shares (the “Firm Shares”) of the Company’s common stock, $.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares 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 (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 herein, collectively, called the “Shares.”
7,000,000 Shares Seattle Genetics, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 5th, 2004 • Seattle Genetics Inc /Wa • Biological products, (no disgnostic substances) • New York
Contract Type FiledFebruary 5th, 2004 Company Industry JurisdictionSeattle Genetics, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representatives (the “Representatives”), an aggregate of 7,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares 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 1,050,000 shares (the “Option Shares”) of Common Stock from the Company. The Firm Shares and the Option Shares are collectively called the “Shares.”