Common Contracts
15 similar Underwriting Agreement contracts by Sonnet BioTherapeutics Holdings, Inc., Fibrocell Science, Inc., Aclarion, Inc., others
SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 8th, 2024 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Sonnet BioTherapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which Chardan Capital Markets, LLC is acting as the representative (the “Representative”) of the several Underwriters an aggregate of (i) 155,000 authorized but unissued shares (the “Firm Shares” or “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares up to an aggregate of 956,111 shares of Common Stock at an exercise price of $0.0001 per share (the “Pre-Funded Warrant Shares”), and (iii) warrants (the “Firm Warrants” or “Warrants”) to purchase up to an aggregate of 2,222,222 shares of Common Stock (the “Firm Warrant Shares” or “Warrant Shares”). The Shares, the Pre-Funded Warrants, the Pre-Funded Warrant
SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 6th, 2024 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Sonnet BioTherapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which Chardan Capital Markets, LLC is acting as the representative (the “Representative”) of the several Underwriters an aggregate of (i) [ ● ] authorized but unissued shares (the “Firm Shares” or “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares up to an aggregate of [ ● ] shares of Common Stock at an exercise price of $0.0001 per share (the “Pre-Funded Warrant Shares”), and (iii) warrants (the “Firm Warrants” or “Warrants”) to purchase up to an aggregate of [ ● ] shares of Common Stock (the “Firm Warrant Shares” or “Warrant Shares”). The Shares, the Pre-Funded Warrants, the Pre-Funded Warrant Shares,
SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 4th, 2023 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Sonnet BioTherapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which Chardan Capital Markets, LLC and Ladenburg Thalmann & Co. Inc. are acting as representatives (each a “Representative” and together, the “Representatives”) of the several Underwriters an aggregate of (i) [ · ] authorized but unissued shares (the “Firm Shares” or “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares up to an aggregate of [ · ] shares of Common Stock at an exercise price of $0.0001 per share (the “Pre-Funded Warrant Shares”), and (iii) warrants (the “Firm Warrants” or “Warrants”) to purchase up to an aggregate of [ · ] shares of Common Stock (the “Firm Warrant Shares” or “Warrant Shares”
SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 28th, 2023 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Sonnet BioTherapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which Chardan Capital Markets, LLC and Ladenburg Thalmann & Co. Inc. are acting as representatives (each a “Representative” and together, the “Representatives”) of the several Underwriters an aggregate of (i) [ ] authorized but unissued shares (the “Firm Shares” or “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares up to an aggregate of [ ] shares of Common Stock at an exercise price of $0.0001 per share (the “Pre-Funded Warrant Shares”), and (iii) warrants (the “Firm Warrants” or “Warrants”) to purchase up to an aggregate of [ ] shares of Common Stock (the “Firm Warrant Shares” or “Warrant Shares”). The
13,888,888 Shares of Common Stock (or Pre-Funded Warrants to Purchase Shares of Common Stock in Lieu Thereof) Warrants to Purchase 27,777,776 Shares of Common Stock SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 13th, 2023 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
Sonnet BioTherapeutics Holdings, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to several underwriters named on Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) for which Chardan Capital Markets, LLC is acting as representative (the “Representative”) (i) an aggregate of 13,888,888 authorized but unissued shares (the “Firm Shares” or “Shares”) of common stock, par value $0.0001 per share, of the Company (the “Common Stock”) or pre-funded warrants (the “Pre-Funded Warrants”) to purchase shares of Common Stock in lieu thereof at an exercise price of $0.0001 per share (the “Pre-Funded Warrant Shares”), and (ii) warrants (the “Firm Warrants” or “Warrants”) to purchase up to an aggregate of 27,777,776 shares of Common Stock (the “Firm Warrant Shares” or “Warrant Shares”). The Shares, the Underwriter Warrants (as defined below), the Underwriter Warrant Shares (as defined below), the P
2,165,000 WARRANTS TO PURCHASE 2,165,000 SHARES OF COMMON STOCK OF ACLARION, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 27th, 2022 • Aclarion, Inc. • Services-medical laboratories • New York
The undersigned, Aclarion, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Aclarion, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
AYTU BIOPHARMA, INC. (a Delaware corporation) 3,030,000 Shares of Common Stock Pre-Funded Warrants to Purchase 3,030,000 Shares of Common Stock Warrants to Purchase 6,666,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 4th, 2022 • Aytu Biopharma, Inc • Pharmaceutical preparations • New York
CALYXT, INC. 3,880,000 Shares of Common Stock Pre-Funded Warrants to Purchase 3,880,000 Shares of Common Stock Warrants to Purchase 7,760,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 23rd, 2022 • Calyxt, Inc. • Agricultural chemicals • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • February 3rd, 2022 • Imperial Petroleum Inc./Marshall Islands • Deep sea foreign transportation of freight • New York
The undersigned, Imperial Petroleum Inc., a company incorporated under the laws of the Republic of the Marshall Islands (collectively with its subsidiaries and controlled affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or controlled affiliates of Imperial Petroleum Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
Warrants to Purchase [●] Shares of Common Stock SONNET BIOTHERAPEUTICS HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 16th, 2021 • Sonnet BioTherapeutics Holdings, Inc. • Pharmaceutical preparations • New York
3,991,818 SHARES OF COMMON STOCK AND 3,991,818 WARRANTS OF AUDDIA INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 22nd, 2021 • Auddia Inc. • Services-computer processing & data preparation • New York
The undersigned, Auddia Inc., a company incorporated under the laws of Delaware (collectively with its affiliates, including, without limitation, all entities disclosed or described in the Registration Statement or affiliates of Auddia Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
4,095,000 SHARES of Common Stock, 2,655,000 PRE-FUNDED warrants (exercisable for 2,655,000 Shares) and 6,750,000 Warrants (exercisable for 6,750,000 Shares) of DELMAR PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 15th, 2019 • DelMar Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
The undersigned, DelMar Pharmaceuticals, Inc., a company incorporated under the laws of Nevada (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of DelMar Pharmaceuticals, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representatives (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which Maxim Group LLC and Dawson James Securities, Inc. are acting as representatives to the several Underwriters (each a “Representative” and collectively, the “Representatives” and if there are no Underwriters other than the Representatives, references to multiple Underwriters shall be disregarded and the term Representatives as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
7,714,156 Shares of Common Stock Pre-Funded Warrants to Purchase 5,922,208 Shares of Common Stock and Warrants to Purchase 13,636,364 Shares of Common Stock Fibrocell Science, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2017 • Fibrocell Science, Inc. • Pharmaceutical preparations • New York
Fibrocell Science, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • December 6th, 2017 • Fibrocell Science, Inc. • Pharmaceutical preparations • New York
Fibrocell Science, Inc. a Delaware corporation (the “Company”), proposes to issue and sell to H.C. Wainwright & Co., LLC (the “Underwriter”) (i) an aggregate of (a) [·] shares (the “Firm Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”) and (b) pre-funded warrants to purchase [·] shares of Common Stock at an exercise price of $0.01 per share (the “Pre-Funded Warrants”); and (ii) warrants to purchase [·] shares of Common Stock (the “Firm Warrants” and, collectively with the Firm Shares and the Pre-Funded Warrants, the “Firm Securities”). The amount and form of the Firm Securities to be purchased by the Underwriter is set forth opposite its name on Schedule I hereto. The Company also proposes to sell to the Underwriter, at the option of the Underwriter, up to an additional [·] shares of Common Stock (the “Option Shares”) and/or warrants to purchase up to an aggregate of [·] shares of Common Stock (the “Option Warrants” and, together with the Option
9,090,909 Shares of Common Stock and Warrants to Purchase 8,181,818 Shares of Common Stock AMERICAN SUPERCONDUCTOR CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • November 13th, 2014 • American Superconductor Corp /De/ • Motors & generators • New York
