SIDOTI & COMPANY, INC. [ ] Shares of Common Stock $0.001 par value per share UNDERWRITING AGREEMENTUnderwriting Agreement • August 7th, 2015 • Sidoti & Company, Inc. • Security brokers, dealers & flotation companies • New York
Sidoti & Company, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained in this Underwriting Agreement (this “Agreement”), to issue and sell a minimum of [ ] shares (the “Minimum Amount”) and a maximum of [ ] shares (the “Maximum Amount”) of its common stock, par value $0.001 per share (the “Common Stock”), to investors (collectively, the “Investors”) in an initial public offering through you as representative (the “Representative”) and the other underwriters (the “Underwriters”) named on Schedule 1 hereto, acting on a best efforts basis only, in connection with such sales. The shares of Common Stock to be sold in this offering are referred to herein as the “Shares.” The Shares are more fully described in the Registration Statement (as hereinafter defined).
CONTRIBUTION and EXCHANGE AGREEMENTContribution and Exchange Agreement • August 7th, 2015 • Sidoti & Company, Inc. • Security brokers, dealers & flotation companies • New York
CONTRIBUTION AND EXCHANGE AGREEMENT (this “Agreement”), dated as of [______], 2015, by and between Sidoti & Company, Inc., a Delaware corporation (the “Corporation”), and the holders of LLC Units (as defined herein) of SHC (as defined herein) party hereto (the “LLC Unitholders”).
