Ventas, Inc. Common Stock ($0.25 par value) AMENDMENT NO. 1 TO ATM EQUITY OFFERINGSM SALES AGREEMENT February 23, 2021Atm Equity Offerings Sales Agreement • February 24th, 2021 • Ventas, Inc. • Real estate investment trusts • New York
AMENDMENT NO. 1, dated as of February 23, 2021 (the “Amendment No. 1”) by and among Ventas, Inc., a Delaware corporation (the “Company”), BofA Securities, Inc. (f/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated), Citigroup Global Markets Inc., Credit Agricole Securities (USA) Inc., Jefferies LLC, J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, MUFG Securities Americas Inc., RBC Capital Markets, LLC, Scotia Capital (USA) Inc., SMBC Nikko Securities America, Inc., TD Securities (USA) LLC, UBS Securities LLC and Wells Fargo Securities, LLC as sales agent and/or principal (each, an “Agent,” and collectively, the “Agents”) to that certain ATM Equity OfferingSM Sales Agreement, dated July 31, 2018 (the “Agreement”).
ATM EQUITY OFFERINGSM SALES AGREEMENTAtm Equity Offerings Sales Agreement • April 5th, 2023 • Aerovate Therapeutics, Inc. • Pharmaceutical preparations • New York
Aerovate Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through BofA Securities, Inc., as sales agent and/or principal (the “Agent”), shares of the Company’s common stock, par value $0.0001 per share (the “Common Shares”), having an aggregate offering price of up to $75,000,000 on the terms set forth in this agreement (this “Agreement”). The Company agrees that whenever it determines to sell Shares (as defined below) directly to the Agent as principal it will enter into a separate written Terms Agreement (each, a “Terms Agreement”), in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3(b)(vii) hereof. References herein to “this Agreement” or to matters contained “herein” or “hereunder”, or words of similar import, mean this ATM Equity OfferingSM Sales Agreement and any applicable Terms Agreement.
ATM EQUITY OFFERINGSM SALES AGREEMENTAtm Equity Offerings Sales Agreement • November 23rd, 2009 • Cathay General Bancorp • State commercial banks • New York
Cathay General Bancorp, a Delaware corporation (the “Company”), confirms its agreement with Merrill Lynch, Pierce, Fenner & Smith Incorporated, as agent and/or principal under any Terms Agreement (as defined in Section 1(a) below) (“you” or the “Agent”), with respect to the issuance and sale from time to time by the Company, in the manner and subject to the terms and conditions described below (this “Agreement”), of Common Stock, $0.01 par value per share (the “Common Stock”), of the Company having an aggregate Gross Sales Price (as defined in Section 2(b) below) of up to $50,000,000 (the “Maximum Amount”) on the terms set forth in Section 1 of this Agreement. Such shares are hereinafter collectively referred to as the “Shares” and are described in the Prospectus referred to below.
AMENDMENT TO THE ATM EQUITY OFFERINGSM SALES AGREEMENTAtm Equity Offerings Sales Agreement • August 15th, 2008 • Raser Technologies Inc • Motors & generators • New York
Raser Technologies, Inc., a Delaware corporation (the “Company”), confirms its agreement with Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated (the “Underwriter”) with respect to the issue and sale by the Company and the purchase by the Underwriter of 1,986,173 shares (the “Shares”) of the Company’s common stock, par value $.01 per share (the “Common Stock”), on and subject to the terms and conditions of the ATM Equity OfferingSM Sales Agreement, dated June 17, 2008, between the Company and the Underwriter (the “ATM Agreement”) as amended and supplemented by this Amendment to the ATM Equity OfferingSM Sales Agreement (this “Amendment”) as follows:
