NEOSTEM, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • February 12th, 2010 • NeoStem, Inc. • Services-misc health & allied services, nec • New York
NeoStem, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (“Roth”) for Roth and on behalf of Maxim Group LLC and Gilford Securities (collectively with Roth, the “Underwriters”) an aggregate of 5,000,000 authorized but unissued shares (the “Underwritten Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company has granted the Underwriters the option to purchase an aggregate of up to 750,000 additional shares of Common Stock (the “Additional Shares”) as may be necessary to cover over-allotments made in connection with the offering. The Underwritten Shares and the Additional Shares are collectively referred to as the “Shares.”
