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For more information visit our privacy policy.PERFORMANCE SHIPPING INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 2nd, 2022 • Performance Shipping Inc. • Deep sea foreign transportation of freight • New York
Contract Type FiledMay 2nd, 2022 Company Industry JurisdictionThe undersigned, Performance Shipping Inc., a corporation incorporated under the laws of the Republic of the Marshall Islands ( the “Company”) hereby confirms its agreement to issue and sell to and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”) an aggregate of units, (the “Units”), each unit consisting of one common share, $0.01 par value per share of the Company (“Common Shares” and the Common Shares sold as part of the Units, the “Firm Shares”) or one pre-funded warrant to purchase one Common Share at an exercise price of $0.01 per Common Share (the pre-funded warrants sold as part of the Units (the “Firm Pre-Funded Warrants”) together with one Class A Warrant to purchase one Common Share at an exercise price of $ per share (the Class A Warrants sold as part of the Units, the “Firm Purcha
Vislink Technologies, Inc. 3,201,200 Shares Common Stock ($0.00001 par value per share) 11,893,100 Pre-Funded Warrants to Purchase up to 11,893,100 Shares of Common Stock and 15,094,300 Warrants to Purchase up to 11,320,725 Shares of Common Stock...Underwriting Agreement • November 27th, 2019 • Vislink Technologies, Inc. • Communications equipment, nec • New York
Contract Type FiledNovember 27th, 2019 Company Industry JurisdictionVislink Technologies, Inc., a corporation organized under the laws of Delaware (including any predecessor entities, the “Company”), proposes to sell to the several underwriters named in Schedule I hereto (the “Underwriters”), for whom you (the “Representative”) are acting as Representative, (i) an aggregate of 3,201,200 shares of common stock, par value $0.00001 per share (“Common Stock”), of the Company (said shares to be issued and sold by the Company being hereinafter called the “Firm Shares”), (ii) 11,893,100 pre-funded warrants to purchase up to an aggregate of 11,893,100 shares of Common Stock (the “Pre-Funded Warrants”) at an exercise price of $0.001 per share and (iii) 15,094,300 warrants of the Company to purchase up to an aggregate of 11,320,725 shares of Common Stock (the “Firm Common Warrants”) at an exercise price equal to $0.2915 per share. The Firm Shares, the Pre-Funded Warrants, and the Firm Common Warrants to be sold by the Company are collectively referred to as the
16,000,000 Shares QUICKLOGIC CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 21st, 2019 • QUICKLOGIC Corp • Semiconductors & related devices • New York
Contract Type FiledJune 21st, 2019 Company Industry JurisdictionQuickLogic 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 16,000,000 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 2,400,000 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.”
ORDINARY SHARES AND [_____] WARRANTS BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 6th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
Contract Type FiledNovember 6th, 2018 Company Industry JurisdictionBORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”), and, at the election of the Underwriters, up to additional [______] shares (the “Optional Shares”) and (ii) an aggregate of [______] warrants to purchase Ordinary Shares (the “Firm Warrants”) and, at the election of the Underwriters, up to [_____] additional warrants (the “Optional Warrants” and collectively with the Firm Warrants, the “Warrants”). The Firm Shares and the Firm Warrants may be collectively referred to herein as the “Firm Securities”. The Optional Shares and the Optional Warrants ma
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 24th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
Contract Type FiledSeptember 24th, 2018 Company Industry JurisdictionBORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 28th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
Contract Type FiledAugust 28th, 2018 Company Industry JurisdictionBORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 2nd, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
Contract Type FiledJuly 2nd, 2018 Company Industry JurisdictionBORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
COMMON STOCK, $0.001 PAR VALUE PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • December 21st, 2017 • LiveXLive Media, Inc. • Retail-eating places • New York
Contract Type FiledDecember 21st, 2017 Company Industry Jurisdiction
Shares of Common Stock and [__________] Warrants to Purchase Shares of Common Stock BLUE SPHERE CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 17th, 2017 • Blue Sphere Corp. • Services-computer programming, data processing, etc. • New York
Contract Type FiledAugust 17th, 2017 Company Industry JurisdictionBlue Sphere Corporation, a Nevada corporation (the “Company”), hereby confirms its agreement, subject to the terms and conditions contained in this underwriting agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of [__________] shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), [__________] pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share, and [__________] warrants (the “Warrants” and, together with the Shares and the Pre-Funded Warrants, the “Securities”) with the right to purchase one share of Common Stock at an exercise price of $3.30 per share. The respective numbers of Securities to be purchased by each of the several Underwriters ar
Shares of Common Stock (or Pre-Funded Warrants to Purchase Shares of Common Stock in Lieu Thereof) and Warrants to Purchase __________ Shares of Common Stock CELSION CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • June 2nd, 2017 • Celsion CORP • Pharmaceutical preparations • New York
Contract Type FiledJune 2nd, 2017 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”), (i) an aggregate of ________ shares (the “Firm Shares”) of the Company’s common stock, $0.01 par value per share (the “Common Stock”) or pre-funded warrants (the “Pre-Funded Warrants”) to purchase Common Stock in lieu thereof at an exercise price of $0.01 per share (the “Pre-Funded Warrant Shares”) and (ii) warrants (the “Firm Warrants” and collectively with the Firm Shares, the “Firm Securities”) to purchase up to an aggregate of [ ] shares of Common Stock (the “Warrant Shares”). 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 proposes to grant to the Underwriters an o
Shares of Common Stock and [__________] Warrants to Purchase Shares of Common Stock BLUE SPHERE CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • May 30th, 2017 • Blue Sphere Corp. • Services-computer programming, data processing, etc.
Contract Type FiledMay 30th, 2017 Company IndustryBlue Sphere Corporation, a Nevada corporation (the “Company”), hereby confirms its agreement, subject to the terms and conditions contained in this underwriting agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of [__________] shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), [__________] pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share, and [__________] warrants (the “Warrants” and, together with the Shares and the Pre-Funded Warrants, the “Securities”) with the right to purchase one share of Common Stock at an exercise price of $[___] per share. The respective numbers of Securities to be purchased by each of the several Underwriters a
Accelerated Pharma, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • October 11th, 2016 • Accelerated Pharma, Inc. • Pharmaceutical preparations • New York
Contract Type FiledOctober 11th, 2016 Company Industry JurisdictionThe undersigned, Accelerated Pharma, Inc., a Delaware corporation (the "Company"), hereby confirms its agreement (this "Agreement"), subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the "Underwriters"), for whom Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC is acting as Representatives (in such capacity, the "Representatives") to issue and sell to the Underwriters an aggregate of [●] shares ("Shares") of common stock, par value $0.0001 per share, of the Company ("Common Stock"). The offering and sale of securities contemplated by this Agreement is referred to herein as the "Offering." It is further understood that the Representatives will act as Representatives for the Underwriters in the offering and sale of the Shares in accordance with an Agreement Among Underwriters entered into by Representatives and the several other Underwriters.
PSIVIDA CORP. 4,000,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 8th, 2016 • pSivida Corp. • Laboratory analytical instruments • New York
Contract Type FiledJanuary 8th, 2016 Company Industry JurisdictionpSivida Corp., 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”), (i) 4,000,000 shares (the “ Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”) and (ii) the grant by the Company to the Underwriters of the option described in Section 1 hereto to purchase, severally and not jointly, all or any part of 440,000 shares of Common Stock (the “Option Shares,” and together with the Firm Shares, the “Shares”) . 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.
EFACTOR GROUP CORP. UNDERWRITING AGREEMENTUnderwriting Agreement • September 4th, 2015 • Efactor Group Corp. • Services-business services, nec • New York
Contract Type FiledSeptember 4th, 2015 Company Industry JurisdictionEFactor Group Corp., a Nevada corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of _______ shares (the “Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of _______ shares of Common Stock at an exercise price equal to $____ per share (each, a “Warrant” and, collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one additional share of Common Stock.
] UNITS RMR INDUSTRIALS INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 20th, 2015 • RMR Industrials, Inc. • Services-miscellaneous business services • New York
Contract Type FiledAugust 20th, 2015 Company Industry Jurisdiction
Perseon Corporation UNDERWRITING AGREEMENTUnderwriting Agreement • July 27th, 2015 • Perseon Corp • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJuly 27th, 2015 Company Industry JurisdictionThe undersigned, Perseon Corporation, a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, $0.001 par value per share (“Common Stock”) and warrants for the right to purchase [·] shares of Common Stock (the “Firm Warrants,” and collectively with the Firm Shares, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”) and/or warrants to purchase up to an additional [·] shares of Common Stock (the “Option Warrants,” and collectively with the Firm Warrants, the “Warrants”) for the purpo
Perseon Corporation UNDERWRITING AGREEMENTUnderwriting Agreement • July 17th, 2015 • Perseon Corp • Electromedical & electrotherapeutic apparatus • New York
Contract Type FiledJuly 17th, 2015 Company Industry JurisdictionThe undersigned, Perseon Corporation, a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, $0.001 par value per share (“Common Stock”) and warrants for the right to purchase [·] shares of Common Stock (the “Firm Warrants,” and collectively with the Firm Shares, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”) and warrants to purchase up to an additional [·] shares of Common Stock (the “Option Warrants,” and collectively with the Firm Warrants, the “Warrants”) for the purpose
NeuroMetrix, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • May 4th, 2015 • NeuroMetrix, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledMay 4th, 2015 Company Industry JurisdictionThe undersigned, NeuroMetrix, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] units (the “Units”) of the Company’s securities. Each Unit consists of one share of the Company’s Series B convertible preferred stock, par value $0.001 per share ( “Preferred Stock”) and [·] warrants (each, a “Warrant”) with each Warrant representing the right to purchase [·] share[s] of the Company’s common stock, par value $0.0001 per share (“Common Stock”). The Preferred Stock shall have the rights, powers and preferences set forth in the certificate of designations to be dated [·], 2015 relating thereto (the “Certificate of Designations”). The shares of Common Stock issuable upon the
NeuroMetrix, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • April 13th, 2015 • NeuroMetrix, Inc. • Surgical & medical instruments & apparatus • New York
Contract Type FiledApril 13th, 2015 Company Industry JurisdictionThe undersigned, NeuroMetrix, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 ( “Common Stock”), warrants for the right to purchase [·] shares of Common Stock (the “Warrants”) and pre-funded warrants for the right to purchase [·] shares of Common Stock (the “Pre-Funded Warrants,” and collectively with the Firm Shares and the Warrants, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”), up to an additional [·] Warrants (the “Option Warrants”) and up
Shares VIKING THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • April 10th, 2015 • Viking Therapeutics, Inc. • Pharmaceutical preparations • New York
Contract Type FiledApril 10th, 2015 Company Industry JurisdictionViking Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained in this agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I hereto (collectively, the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of shares (the “Firm Shares”) of the Company’s common stock, $0.00001 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 referred to herein as the “Shares.”
2,800,000 Shares of Common Stock and 2,800,000 Warrants to Purchase Shares of Common Stock APPLIED DNA SCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • December 15th, 2014 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Contract Type FiledDecember 15th, 2014 Company Industry JurisdictionApplied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of 2,800,000 shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), and 2,800,000 warrants (the “Warrants”) with the right to purchase one share of Common Stock (together, “Securities”). The respective numbers of Securities 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 420,000 shares of Common Stock (the “Option Shares”) and/or up to an additional 420,000 Warrants (the “Option Warrants”) from the Company for the
Form of EMPIRE ENERGY HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 14th, 2014 • Imperial Resources, LLC • Crude petroleum & natural gas • New York
Contract Type FiledOctober 14th, 2014 Company Industry JurisdictionEmpire Energy Holdings, Inc., a Delaware corporation (f/k/a Imperial Resources, LLC) (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [_______] shares (the “Shares”) of common stock, par value $0.01 per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of _________ shares of Common Stock at an exercise price equal to $_____ per whole share (each, a “Warrant” and, collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one-half additional share of Common Stock.
CONTRAFECT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 1st, 2014 • CONTRAFECT Corp • Pharmaceutical preparations • New York
Contract Type FiledAugust 1st, 2014 Company Industry JurisdictionThe undersigned, ContraFect Corporation, a corporation incorporated under the laws of the State of Delaware (the “Company”), confirms its agreement, subject to the terms and conditions set forth in this Underwriting Agreement (this “Agreement”), with each of the underwriters listed on Schedule A hereto (each, an “Underwriter” and collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of: 6,000,000 Firm Units (as defined below), with each Firm Unit (and each Option Unit, as defined below) consisting of: (i) one (1) share of common stock, par value $0.0001 per share, of the Company (“Common Stock”); (ii) one Class A warrant of the Company (each, a “Class A Warrant” and collectively, the “Class A Warrants”); and (iii) one Class B warrant (each, a “Class B Warrant” and collectively, the “Class B Warrants” which, collectively with the Class A Warrants are referred to
•] SHARES OF COMMON STOCK ENERGY FOCUS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 22nd, 2014 • Energy Focus, Inc/De • Electric lighting & wiring equipment • New York
Contract Type FiledJuly 22nd, 2014 Company Industry Jurisdiction
5,000,000 SHARES OF COMMON STOCK 5,000,000 WARRANTS TO PURCHASE 7,500,000 SHARES OF COMMON STOCK ENERPULSE TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 16th, 2014 • Enerpulse Technologies, Inc. • Motor vehicle parts & accessories • New York
Contract Type FiledMay 16th, 2014 Company Industry Jurisdiction
] SHARES OF COMMON STOCK ECM ENERGY SERVICES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 24th, 2014 • Ecm Energy Services Inc • Services-equipment rental & leasing, nec • New York
Contract Type FiledApril 24th, 2014 Company Industry JurisdictionECM Energy Services, Inc., a Delaware corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Exhibit A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [ ] shares of common stock, par value $0.001 per share (the “Common Stock”) of the Company (the “Firm Shares”). The Firm Shares are more fully described in the Registration Statement and Prospectus referred to below.
2,500,000 SHARES OF COMMON STOCK [•] WARRANTS TO PURCHASE 2,500,000 SHARES OF COMMON STOCK ENERPULSE TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 24th, 2014 • Enerpulse Technologies, Inc. • Motor vehicle parts & accessories • New York
Contract Type FiledFebruary 24th, 2014 Company Industry Jurisdiction
•] WARRANTS TO PURCHASE 2,500,000 SHARES OF COMMON STOCK ENERPULSE TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • February 3rd, 2014 • Enerpulse Technologies, Inc. • Motor vehicle parts & accessories • New York
Contract Type FiledFebruary 3rd, 2014 Company Industry Jurisdiction
RICEBRAN TECHNOLOGIES UNDERWRITING AGREEMENTUnderwriting Agreement • December 18th, 2013 • RiceBran Technologies • Grain mill products • New York
Contract Type FiledDecember 18th, 2013 Company Industry JurisdictionRiceBran Technologies, a California corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of 1,714,286 shares (the “Shares”) of common stock, no par value per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of 1,714,286 shares of Common Stock at an exercise price equal to $6.55 per share (each a “Warrant” and collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one additional share of Common Stock.
RICEBRAN TECHNOLOGIES UNDERWRITING AGREEMENTUnderwriting Agreement • December 11th, 2013 • RiceBran Technologies • Grain mill products • New York
Contract Type FiledDecember 11th, 2013 Company Industry JurisdictionRiceBran Technologies, a California corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of _______ shares (the “Shares”) of common stock, no par value per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of ___________ shares of Common Stock at an exercise price equal to $__ per share (each a “Warrant” and collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one additional share of Common Stock.
PSIVIDA CORP. 3,494,550 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • July 19th, 2013 • pSivida Corp. • Laboratory analytical instruments • New York
Contract Type FiledJuly 19th, 2013 Company Industry JurisdictionpSivida Corp., 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 3,494,550 shares (the “Shares”) of the Company’s common stock, $0.001 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.
Chanticleer Holdings, Inc. 2,444,450 Units UNDERWRITING AGREEMENTUnderwriting Agreement • June 27th, 2012 • Chanticleer Holdings, Inc. • Services-management consulting services • Florida
Contract Type FiledJune 27th, 2012 Company Industry JurisdictionChanticleer Holdings, Inc, a Delaware corporation (the “Company”), proposes to sell to the several underwriters (the “Underwriters”) named in Schedule I hereto for whom you are acting as representatives (each of Merriman Capital, Inc. and Dawson James Securities, Inc., collectively referred to herein as the “Representative” or “you”) an aggregate of 2,444,450 units (the “Firm Units”) at a price of $4.23 per Unit, with each unit consisting of one share of the Company’s common stock, $0.0001 par value (the “Common Stock”), and one warrant (“Warrant”) to purchase one share of Common Stock. The respective amounts of Firm Units to be so purchased by each of the several Underwriters are set forth opposite their respective names in Schedule I hereto. The Company also proposes to sell, at the Underwriters’ option (“Overallotment Option”), an aggregate of up to 366,667 additional units of the Company (the “Option Units”) as set forth below. The terms of the Warrants are provided for in the form
JINTAI MINING GROUP, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • June 24th, 2011 • Jintai Mining Group, Inc. • Metal mining • New York
Contract Type FiledJune 24th, 2011 Company Industry JurisdictionKuizhong Cai Yuan Lin Shaoying Li Danny T.N. Ho Zhiming Jiang Danien Ye Cha Hwa Chong Zhizhong Ding Zhenwei Jin Weiheng Cai Liwen Hu Haibin Zhong
] SHARES OF COMMON STOCK JINTAI MINING GROUP, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 11th, 2011 • Jintai Mining Group, Inc. • Metal mining • New York
Contract Type FiledMay 11th, 2011 Company Industry Jurisdiction
] SHARES OF COMMON STOCK JINTAI MINING GROUP, INC. FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • February 11th, 2011 • Jintai Mining Group, Inc. • Metal mining • New York
Contract Type FiledFebruary 11th, 2011 Company Industry Jurisdiction