Common Contracts
3 similar Placement Agency Agreement contracts by Nuwellis, Inc.
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 5th, 2024 • Nuwellis, Inc. • Electromedical & electrotherapeutic apparatus • New York
This agreement (the “Agreement”) constitutes the agreement between Lake Street Capital Markets, LLC and Maxim Group LLC as placement agents (each, a “Placement Agent” and collectively, the “Placement Agents”) and Nuwellis, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), pursuant to which the Placement Agents shall serve as the exclusive placement agents for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of (i) shares (the “Shares”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”), (ii) Series A common stock purchase warrants (collectively, the “Series A Warrants”) to purchase shares of Common Stock, (iii) Series B common stock purchase warrants (collectively, the “Series B Warrants” and collectively with the Series A Warrants, the “Purchase Warrants”) and (iv) pre-funded warrants (collectively, the “Pre-Funded Warrants”) to purchase shares of Common Stock (the s
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • January 31st, 2024 • Nuwellis, Inc. • Electromedical & electrotherapeutic apparatus • New York
This agreement (the “Agreement”) constitutes the agreement between Lake Street Capital Markets, LLC and Maxim Group LLC as placement agents (each, a “Placement Agent” and collectively, the “Placement Agents”) and Nuwellis, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), pursuant to which the Placement Agents shall serve as the exclusive placement agents for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of (i) shares (the “Shares”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”), (ii) warrants (collectively, the “Purchase Warrants”) to purchase shares of Common Stock, and (iii) pre-funded warrants (collectively, the “Pre-Funded Warrants”) to purchase shares of Common Stock (the shares of Common Stock underlying the Purchase Warrants and the Pre-Funded Warrants, collectively with the Purchase Warrants, the Pre-Funded Warrants, and the Shares, the “Securities”).
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 17th, 2023 • Nuwellis, Inc. • Electromedical & electrotherapeutic apparatus • New York
This letter agreement (the “Agreement”) constitutes the agreement between Lake Street Capital Markets, LLC and Maxim Group LLC, as placement agents (each a “Placement Agent” and, collectively, the “Placement Agents”) and Nuwellis, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), that Placement Agents shall serve as exclusive placement agents for the Company, on a “reasonable best efforts” basis, for the proposed placement to certain purchasers (the “Purchasers”) of up to an aggregate of 150,000 units (each a “Unit” and collectively, the “Units”), with each Unit consisting of (A) one share (each a “Share” and collectively, the “Shares”) of the Company’s Series J Convertible Redeemable Preferred Stock, par value $0.0001 per share (the “Series J Preferred Stock”), (B) one warrant (each a “Warrant” and collectively, the “Warrants”) to purchase one-half of one share of the Series J Preferred Stock (the “Warrant Shares”) exercisable immediately and expiring three
