APTOSE BIOSCIENCES INC. [●] Common Shares [●] Pre-Funded Warrants [●] Warrants UNDERWRITING AGREEMENTUnderwriting Agreement • December 29th, 2023 • Aptose Biosciences Inc. • Biological products, (no disgnostic substances)
Contract Type FiledDecember 29th, 2023 Company IndustryAptose Biosciences Inc., a company incorporated under the Canada Business Corporations Act (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of (i) [●] shares (the “Firm Shares”) of the Company’s common shares, no par value per share (the “Common Shares”), (ii) pre-funded warrants to purchase up to [●] Common Shares at an exercise price of $0.01 per share, in the form attached hereto as Exhibit A (the “Pre-Funded Warrants”), and (iii) warrants (the “Common Warrants”) to purchase up to [●] Common Shares, in the form attached hereto as Exhibit B (the “Firm Common Warrants,” and, together with the Pre-Funded Warrants and the Firm Shares, the “Firm Securities”). The respective amounts of the Firm Securities to be purchased by each of the several Under
APTOSE BIOSCIENCES INC. [●] Common Shares [●] Pre-Funded Warrants [●] Warrants UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2023 • Aptose Biosciences Inc. • Biological products, (no disgnostic substances)
Contract Type FiledDecember 11th, 2023 Company IndustryAptose Biosciences Inc., a company incorporated under the Canada Business Corporations Act (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of (i) [●] shares (the “Shares”) of the Company’s common shares, no par value per share (the “Common Shares”), (ii) pre-funded warrants to purchase up to [●] shares of Common Shares at an exercise price of $0.01 per share, in the form attached hereto as Exhibit A (the “Pre-Funded Warrants”), and (iii) warrants to purchase up to [●] shares of Common Shares, in the form attached hereto as Exhibit B (the “Common Warrants” and, together with the Pre-Funded Warrants, the “Warrants”). The respective amounts of the Shares, Pre-Funded Warrants and Common Warrants to be purchased by each of the several Underwriters ar
736,845 Shares TRANSCAT, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 21st, 2023 • Transcat Inc • Instruments for meas & testing of electricity & elec signals
Contract Type FiledSeptember 21st, 2023 Company IndustryTranscat, Inc., an Ohio 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 Representative (the “Representative”), an aggregate of 736,845 shares (the “Firm Shares”) of the Company’s common stock, $0.50 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 110,526 shares (the “Option Shares”) of Common Stock from the Company. The Firm Shares and the Option Shares are collectively called the “Shares.”
40,000,000 Shares of Common Stock Pre-Funded Warrants to Purchase 20,000,000 Shares of Common Stock Warrants to Purchase 60,000,000 Shares of Common Stock Soleno Therapeutics, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • March 30th, 2022 • Soleno Therapeutics Inc • Electromedical & electrotherapeutic apparatus
Contract Type FiledMarch 30th, 2022 Company IndustrySoleno 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”) (this “Agreement”), for whom you are acting as Representative (the “Representative”), (i) an aggregate of 40,000,000 shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), (ii) pre-funded warrants to purchase up to 20,000,000 shares of Common Stock (the “Pre-Funded Warrant Shares”) at an exercise price of $0.01 per share in the form attached hereto as Exhibit A (the “Pre-Funded Warrants”), and (iii) warrants to purchase up to an aggregate of 60,000,000 shares of Common Stock (the “Common Warrant Shares” and, together with the Pre-Funded Warrant Shares, the “Warrant Shares”) in the form attached hereto as Exhibit B (the “Common Warrants” and together with the Pre-Funded Warrants, the “Warrants”). The respective a
5,208,333 Ordinary Shares MEDIWOUND LTD. UNDERWRITING AGREEMENTUnderwriting Agreement • March 3rd, 2022 • MediWound Ltd. • Medicinal chemicals & botanical products
Contract Type FiledMarch 3rd, 2022 Company IndustryMediWound Ltd., an Israeli company (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 Representative (the “Representative”), an aggregate of 5,208,333 ordinary shares (the “Firm Shares”) of the Company, par value NIS 0.01 per share (the “Ordinary Shares”). 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 781,249 Ordinary Shares (the “Option Shares”) 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.”
MODULAR MEDICAL, INC. [____] Shares Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 13th, 2022 • Modular Medical, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledJanuary 13th, 2022 Company Industry JurisdictionModular Medical, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of [________] 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 [___________] 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.”
CINGULATE INC. [____] Shares Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 10th, 2021 • Cingulate Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 10th, 2021 Company Industry JurisdictionCingulate Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of [________] shares (the “Firm Shares” of the Company’s common stock, $0.0001 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 collectively called the “Shares.”
EVAXION BIOTECH A/S 3,428,571 American Depositary Shares Representing 3,428,571 Ordinary Shares UNDERWRITING AGREEMENTUnderwriting Agreement • November 5th, 2021 • Evaxion Biotech a/S • Biological products, (no disgnostic substances) • New York
Contract Type FiledNovember 5th, 2021 Company Industry JurisdictionEvaxion Biotech A/S, a company incorporated under the laws of the Kingdom of Denmark (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of 3,428,571 American Depositary Shares (the “Firm Shares”), each representing one (1) ordinary share, DKK 1 nominal value, of the Company (the “Ordinary Shares”) (“ADSs” shall mean the American Depositary Shares of the Company, each ADS representing one (1) Ordinary Share). 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 514,285 ADSs (the “Option Shares”) from the Company for the purpose of covering over-allot
EVAXION BIOTECH A/S _____ American Depositary Shares Representing _____ Ordinary Shares UNDERWRITING AGREEMENTUnderwriting Agreement • October 26th, 2021 • Evaxion Biotech a/S • Biological products, (no disgnostic substances) • New York
Contract Type FiledOctober 26th, 2021 Company Industry JurisdictionEvaxion Biotech A/S, a company incorporated under the laws of the Kingdom of Denmark (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of _____ American Depositary Shares (the “Firm Shares”), each representing one (1) ordinary share, DKK 1 nominal value, of the Company (the “Ordinary Shares”) (“ADSs” shall mean the American Depositary Shares of the Company, each ADS representing one (1) Ordinary Share). 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 _____ ADSs (the “Option Shares”) from the Company for the purpose of covering over-allotments
732,500 Shares TRANSACT TECHNOLOGIES INCORPORATED Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • August 16th, 2021 • Transact Technologies Inc • Computer peripheral equipment, nec • New York
Contract Type FiledAugust 16th, 2021 Company Industry Jurisdiction
20,000,000 Shares AMMO, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 15th, 2021 • Ammo, Inc. • Ordnance & accessories, (no vehicles/guided missiles) • New York
Contract Type FiledMarch 15th, 2021 Company Industry JurisdictionThe Company has prepared and filed in conformity with the requirements of the Securities Act of 1933, as amended (the “Securities Act”), and the published rules and regulations thereunder (the “Rules”) adopted by the Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (No. 333-253192), which became effective as of February 24, 2021, including a base prospectus (the “Base Prospectus”) relating to debt securities, preferred stock, common stock, warrants, rights and units of the Company that may be sold from time to time by the Company in accordance with Rule 415 of the Securities Act, and such amendments thereof as may have been required to the date of this Agreement. (such registration statement, including all exhibits and all documents and information deemed to be part of the registration statement by incorporation by reference or otherwise, as amended from time to time, including the information (if any) contained in the form of final pro
80,952,381 Shares Conformis, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 17th, 2021 • Conformis Inc • Orthopedic, prosthetic & surgical appliances & supplies • New York
Contract Type FiledFebruary 17th, 2021 Company Industry JurisdictionConformis, 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 Representative (the “Representative”), an aggregate of 80,952,381 shares (the “Shares”) of the Company’s common stock, $0.00001 par value per share (the “Common Stock”). The respective amounts of the Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto.
UNDERWRITING AGREEMENTUnderwriting Agreement • February 4th, 2021 • Isoray, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledFebruary 4th, 2021 Company Industry JurisdictionIsoray 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 (the “Underwriters”) to this Underwriting Agreement (this “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of 36,000,000 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 5,400,000 shares (the “Company 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 Company Option Shares are collectively called the “Shares.”
EVAXION BIOTECH A/S [____] American Depositary Shares Representing [____] Ordinary Shares UNDERWRITING AGREEMENTUnderwriting Agreement • January 25th, 2021 • Evaxion Biotech a/S • Biological products, (no disgnostic substances) • New York
Contract Type FiledJanuary 25th, 2021 Company Industry JurisdictionEvaxion Biotech A/S, a company incorporated under the laws of the Kingdom of Denmark (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of [________] American Depositary Shares (the “Firm Shares”), each representing one (1) ordinary share, DKK 1 nominal value, of the Company (the “Ordinary Shares”) (“ADSs” shall mean the American Depositary Shares of the Company, each ADS representing one (1) Ordinary Share). 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 [___________] ADSs (the “Option Shares”) from the Company for the purpose of covering ove
2,600,000 Shares ASURE SOFTWARE, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 18th, 2020 • Asure Software Inc • Services-computer integrated systems design • New York
Contract Type FiledDecember 18th, 2020 Company Industry JurisdictionThe Company has prepared and filed in conformity with the requirements of the Securities Act of 1933, as amended (the “Securities Act”), and the published rules and regulations thereunder (the “Rules”) adopted by the Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (No. 333-224068), which became effective as of April 16, 2018, including a base prospectus (the “Base Prospectus”) relating to debt securities, preferred stock, common stock, debt warrants, equity warrants, rights and units of the Company that may be sold from time to time by the Company in accordance with Rule 415 of the Securities Act, and such amendments thereof as may have been required to the date of this Agreement. (such registration statement, including all exhibits and all documents and information deemed to be part of the registration statement by incorporation by reference or otherwise, as amended from time to time, including the information (if any) contained in th
16,666,667 Shares ONCTERNAL THERAPEUTICS, INC. Common Stock AMENDED AND RESTATED UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2020 • Oncternal Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledDecember 11th, 2020 Company Industry JurisdictionOncternal 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 Representative (the “Representative”), an aggregate of 16,666,667 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amount 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 2,495,000 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.” This Amended and Restated Underwriting Agreement amends, restates and
5,000,000 Shares ONDAS HOLDINGS INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • December 8th, 2020 • Ondas Holdings Inc. • Radio & tv broadcasting & communications equipment • New York
Contract Type FiledDecember 8th, 2020 Company Industry JurisdictionOndas Holdings Inc., a Nevada 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 Representative (the “Representative”), an aggregate of 5,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.0001 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 750,000 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 ONDAS HOLDINGS INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 19th, 2020 • Ondas Holdings Inc. • Radio & tv broadcasting & communications equipment • New York
Contract Type FiledNovember 19th, 2020 Company Industry JurisdictionOndas Holdings Inc., a Nevada 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 Representative (the “Representative”), an aggregate of [●] shares (the “Firm Shares”) of the Company’s common stock, $0.0001 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 collectively called the “Shares.”
7,258,065 Shares ONCTERNAL THERAPEUTICS, INC. Common Stock AMENDED AND RESTATED UNDERWRITING AGREEMENTUnderwriting Agreement • November 19th, 2020 • Oncternal Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 19th, 2020 Company Industry JurisdictionOncternal 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 Representative (the “Representative”), an aggregate of 7,258,065 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amount 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 1,088,709 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.” This Amended and Restated Underwriting Agreement amends, restates and
8,343,000 Shares Pre-Funded Warrants to Purchase 13,428,500 Shares Common Warrants to Purchase 21,771,500 Shares Ring Energy, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 29th, 2020 • Ring Energy, Inc. • Crude petroleum & natural gas
Contract Type FiledOctober 29th, 2020 Company IndustryRing Energy, Inc., a Nevada 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 Representative (the “Representative”), an aggregate of (i) 8,343,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), (ii) pre-funded warrants to purchase 13,428,500 shares of Common Stock at an exercise price of $0.001 per share (the “Pre-Funded Warrants”) in the form attached hereto as Exhibit A and (iii) warrants to purchase 21,771,500 shares of Common Stock at an exercise price of $0.80 per share (the “Firm Warrants”) in the form attached hereto as Exhibit B. The shares of Common Stock underlying the Firm Warrants are hereinafter referred to as the “Firm Warrant Shares.” The shares of Common Stock underlying the Pre-Funded Warrants are hereinafter referred to as the “Pre-Funded W
1,200,000 Shares TRANSACT TECHNOLOGIES INCORPORATED Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 16th, 2020 • Transact Technologies Inc • Computer peripheral equipment, nec • New York
Contract Type FiledOctober 16th, 2020 Company Industry JurisdictionThe Company has prepared and filed in conformity with the requirements of the Securities Act of 1933, as amended (the “Securities Act”), and the published rules and regulations thereunder (the “Rules”) adopted by the Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (No. 333-248055), which became effective as of August 21, 2020, including a base prospectus (the “Base Prospectus”) relating to common stock, preferred stock, debt securities and warrants or other rights of the Company that may be sold from time to time by the Company in accordance with Rule 415 of the Securities Act, and such amendments thereof as may have been required to the date of this Agreement (such registration statement, including all exhibits and all documents and information deemed to be part of the registration statement by incorporation by reference or otherwise, as amended from time to time, including the information (if any) contained in the form of final prosp
2,142,858 Shares ONCTERNAL THERAPEUTICS, INC. Common Stock AMENDED AND RESTATED UNDERWRITING AGREEMENTUnderwriting Agreement • August 31st, 2020 • Oncternal Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledAugust 31st, 2020 Company Industry JurisdictionOncternal 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 Representative (the “Representative”), an aggregate of 2,142,858 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amount 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 321,428 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.” This Amended and Restated Underwriting Agreement amends, restates and su
20,000,000 Shares CASI Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 24th, 2020 • CASI Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Contract Type FiledJuly 24th, 2020 Company Industry JurisdictionCASI Pharmaceuticals, 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 Representative (the “Representative”), an aggregate of 20,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.01 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 3,000,000 shares (the “Company 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 Company Option Shares are collectively called the “Shares.”
7,500,000 Shares GROWGENERATION CORP. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 6th, 2020 • GrowGeneration Corp. • Retail-building materials, hardware, garden supply • New York
Contract Type FiledJuly 6th, 2020 Company Industry JurisdictionGrowGeneration Corp., a Colorado 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 Representative (the “Representative”), an aggregate of 7,500,000 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 1,125,000 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.”
7,777,778 Shares KALEYRA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 25th, 2020 • Kaleyra, Inc. • Services-computer processing & data preparation • New York
Contract Type FiledJune 25th, 2020 Company Industry JurisdictionKaleyra, 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 7,777,778 shares (the “Firm Shares”) of the Company’s common stock, $0.0001 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 1,166,666 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.”
2,666,667 Shares Celsion Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 22nd, 2020 • Celsion CORP • Pharmaceutical preparations • New York
Contract Type FiledJune 22nd, 2020 Company Industry JurisdictionCelsion Corporation, 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 Representative (the “Representative”), an aggregate of 2,666,667 shares (the “Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”). The respective amounts of the Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto.
●] Shares KALEYRA, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 18th, 2020 • Kaleyra, Inc. • Services-computer processing & data preparation • New York
Contract Type FiledJune 18th, 2020 Company Industry JurisdictionKaleyra, 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 [●] shares (the “Firm Shares”) of the Company’s common stock, $0.0001 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 collectively called the “Shares.”
UNDERWRITING AGREEMENTUnderwriting Agreement • June 9th, 2020 • Cerecor Inc. • Pharmaceutical preparations • New York
Contract Type FiledJune 9th, 2020 Company Industry JurisdictionCerecor 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 Representative (the “Representative”), an aggregate of 13,200,000 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 1,980,000 shares (the “Company 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 Company Option Shares are collectively called the “Shares.”
6,250,000 Shares CHARLES & COLVARD, LTD. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 7th, 2019 • Charles & Colvard LTD • Jewelry, silverware & plated ware • New York
Contract Type FiledJune 7th, 2019 Company Industry JurisdictionThe Company has prepared and filed in conformity with the requirements of the Securities Act of 1933, as amended (the “Securities Act”), and the published rules and regulations thereunder (the “Rules”) adopted by the Securities and Exchange Commission (the “Commission”) a “shelf” registration statement on Form S-3 (No. 333-225042), which became effective as of May 30, 2018, including a base prospectus (the “Base Prospectus”) relating to common stock, preferred stock, warrants to purchase common stock and preferred stock and units consisting of any combination of the foregoing types of securities of the Company that may be sold from time to time by the Company in accordance with Rule 415 of the Securities Act, and such amendments thereof as may have been required to the date of this Agreement. Copies of such Registration Statement (including all amendments thereof and all documents deemed incorporated by reference therein) and of the related Base Prospectus have heretofore been delivere
Shares SONIM TECHNOLOGIES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 29th, 2019 • Sonim Technologies Inc • Telephone & telegraph apparatus • New York
Contract Type FiledApril 29th, 2019 Company Industry JurisdictionSonim Technologies, Inc., a Delaware corporation (the “Company”) and the selling stockholder listed on Schedule II hereto (the “Selling Stockholder”), propose, 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 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 shares (the “Company Option Shares”) of Common Stock from the Company and the Selling Stockholder proposes to grant to the Underwriters an option to purchase up to an additional shares (the “Selling Stockholder Option Shares” and togethe
OUTLOOK THERAPEUTICS, INC. [●] Shares of Common Stock 15-Month Warrants to Purchase up to [●] Shares of Common Stock Five-Year Warrants to Purchase up to [●] Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 9th, 2019 • Outlook Therapeutics, Inc. • Biological products, (no disgnostic substances)
Contract Type FiledApril 9th, 2019 Company IndustryOutlook Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained in this Underwriting Agreement (the “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of (i) [●] shares (the “Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”), (ii) 15-Month Warrants (the “15-Month Warrants”) to purchase up to an aggregate of [●] shares of Common Stock (the “15-Month Warrant Shares”) and (iii) Five-Year Warrants (the “Five-Year Warrants” and, collectively with the 15-Month Warrants, the “Warrants”) to purchase up to an aggregate of [●] shares of Common Stock (the “Five-Year Warrant Shares” and, collectively with the 15-Month Warrant Shares, the “Warrant Shares”). The respective amounts of the Shares and Warrants to be purchased by each of the several Underwriters are
MOLECULIN BIOTECH, INC. 5,250,000 Units, Each Consisting of One Share of Common Stock and 0.5 of a Warrant to Purchase One Share of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 28th, 2019 • Moleculin Biotech, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMarch 28th, 2019 Company Industry JurisdictionMoleculin Biotech, 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 Representative (the “Representative”), an aggregate of (i) 5,250,000 shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”) and (ii) warrants (the “Warrants”) to purchase up to an aggregate of 2,625,000 shares of Common Stock (the “Warrant Shares”). The respective amounts of the Shares and Warrants to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities.”
ANCHIANO THERAPEUTICS LTD. [____] American Depositary Shares Representing [____] Ordinary Shares UNDERWRITING AGREEMENTUnderwriting Agreement • February 5th, 2019 • Anchiano Therapeutics Ltd. • Pharmaceutical preparations • New York
Contract Type FiledFebruary 5th, 2019 Company Industry JurisdictionAnchiano Therapeutics Ltd., a company organized under the laws of the State of Israel (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of ________ American Depositary Shares (the “Firm Shares”), each representing _______ ordinary shares, no par value per share, of the Company (the “Ordinary Shares”) (“ADSs” shall mean the American Depositary Shares of the Company, each ADS representing _______ Ordinary Shares). 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 ___________ ADSs (the “Option Shares”) from the Company for the purpose of covering o
ANCHIANO THERAPEUTICS LTD. [____] American Depositary Shares Representing [____] Ordinary Shares UNDERWRITING AGREEMENTUnderwriting Agreement • January 31st, 2019 • Anchiano Therapeutics Ltd. • Pharmaceutical preparations • New York
Contract Type FiledJanuary 31st, 2019 Company Industry JurisdictionAnchiano Therapeutics Ltd., a company organized under the laws of the State of Israel (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters (the “Underwriters”) named on Schedule I to this Underwriting Agreement (the “Agreement”), for whom you are acting as Representative (the “Representative”), an aggregate of ________ American Depositary Shares (the “Firm Shares”), each representing _______ ordinary shares, no par value per share, of the Company (the “Ordinary Shares”) (“ADSs” shall mean the American Depositary Shares of the Company, each ADS representing _______ Ordinary Shares). 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 ___________ ADSs (the “Option Shares”) from the Company for the purpose of covering o
Shares of Common Stock Series A Warrants to Purchase up to Shares of Common Stock Series B Warrants to Purchase up to Shares of Common Stock VALERITAS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 14th, 2018 • Valeritas Holdings Inc. • Surgical & medical instruments & apparatus
Contract Type FiledNovember 14th, 2018 Company IndustryValeritas Holdings, Inc., a Delaware corporation (the “Company”) proposes, subject to the terms and conditions contained herein, to sell to Oppenheimer & Co. Inc. and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Oppenheimer & Co. Inc. is acting as Representative (the “Representative”), an aggregate of (i) shares (the “Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”), (ii) Series A warrants to purchase up to an aggregate of shares of Common Stock (the “Series A Warrants”), and (iii) Series B warrants to purchase up to an aggregate of shares of Common Stock (the “Series B Warrants” and together with the Series A Warrants, the “Warrants” and the Shares issuable upon exercise of the Warrants, the “Warrant Shares”) set forth in Schedule A hereto. The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities”. The respective amounts of the Securities to be purchased by each