Controlled Equity Offering Sales Agreement Sample Contracts

Contract
Controlled Equity Offering Sales Agreement • January 29th, 2020 • Sprott Physical Platinum & Palladium Trust • Commodity contracts brokers & dealers • New York
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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021
Controlled Equity Offering Sales Agreement • February 2nd, 2021 • Guggenheim Strategic Opportunities Fund

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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AMENDMENT NO. 1
Controlled Equity Offering Sales Agreement • December 9th, 2019

On May 23, 2014, PharmAthene, Inc. (the “Company”) entered into Amendment No. 1 (the "Amendment") to the Controlled Equity OfferingSM Sales Agreement (the “Agreement”) with Cantor Fitzgerald & Co., as sales agent (“Cantor”), pursuant to which the Company may offer and sell, from time to time, through Cantor additional shares of common stock, par value $0.0001 per share, of the Company (the “Common Stock”), having an aggregate offering price of up to $15.0 million. These shares would be in addition to the shares of Common Stock having an aggregate offering price of up to $15.0 million under the initial Agreement, of which approximately $4.4 million is still available as of the date hereof for sale by the Company through July 26, 2014 under the prospectus supplement, dated March 25, 2013 (collectively, the "ATM Program") pursuant to the Company’s Registration Statement on Form S-3 (File No. 333-175394), the base prospectus filed as part of such Registration Statement, and the prospectus

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CIPHER MINING INC. Shares of Common Stock (par value $0.001 per share) AMENDMENT NO. 1 TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • March 6th, 2024 • Cipher Mining Inc. • Finance services • New York
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AMENDMENT TO CONTROLLED EQUITY OFFERING SALES AGREEMENT
Controlled Equity Offering Sales Agreement • May 5th, 2017 • Healthcare Realty Trust Inc • Real estate investment trusts • New York

This Amendment to Controlled Equity Offering Sales Agreement, dated May 5, 2017 (the “Amendment”), is entered into by and between Healthcare Realty Trust Incorporated (the “Company”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Company, the “Parties”, and each, a “Party”).

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AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • December 23rd, 2015 • Healthcare Realty Trust Inc • Real estate investment trusts • New York

This Amendment to Controlled Equity OfferingSM Sales Agreement, dated December 23, 2015 (the “Amendment”), is entered into by and between Healthcare Realty Trust Incorporated (the “Company”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Company, the “Parties”, and each, a “Party”).

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AMENDMENT NO. 1 TO STEMCELLS, INC. 10,000,000 SHARES CONTROLLED EQUITY OFFERINGsm SALES AGREEMENT
Controlled Equity Offering Sales Agreement • July 18th, 2008 • Stemcells Inc • Biological products, (no disgnostic substances) • New York

This Amendment No. 1 to the Controlled Equity Offering Sales Agreement (the “Amendment”) entered into as of July 18, 2008 amends the Controlled Equity Offeringsm Sales Agreement (the “Agreement”) dated as of December 26, 2006 by and between STEMCELLS, INC., a Delaware corporation (the “Company”) and Cantor Fitzgerald & Co. (“Cantor”).

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TORTOISE MLP FUND, INC. COMMON STOCK ($0.001 PAR VALUE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT December 16, 2015
Controlled Equity Offering Sales Agreement • December 18th, 2015 • Tortoise MLP Fund, Inc.

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of December 16, 2015, by and among Tortoise MLP Fund, Inc., a Maryland corporation (the “Fund”), Tortoise Capital Advisors, L.L.C., a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement (as defined below).

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SECOND AMENDMENT TO TORTOISE ENERGY CAPITAL CORPORATION COMMON STOCK ($0.001 PAR VALUE) CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • April 21st, 2011 • Tortoise Energy Capital Corp

This SECOND AMENDMENT (the “Amendment”) to the Controlled Equity OfferingSM Sales Agreement dated as of August 3, 2009, as amended by the First Amendment thereto dated as of April 21, 2010 (the “Sales Agreement”), is made and entered into effective as of April 21, 2011, by and between Tortoise Energy Capital Corporation, a Maryland corporation (the “Fund”), the Fund’s investment adviser, Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Cantor Fitzgerald & Co. (“CF&Co.”).

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TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT October 1, 2015
Controlled Equity Offering Sales Agreement • October 1st, 2015 • Tortoise Energy Infrastructure Corp

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of October 1, 2015, by and among Tortoise Energy Infrastructure Corporation, a Maryland corporation (the “Fund”), Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement (as defined below).

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Cantor Fitzgerald & Co. New York, NY 10022
Controlled Equity Offering Sales Agreement • September 16th, 2021 • Vaxart, Inc. • Biological products, (no disgnostic substances)
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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 16, 2021
Controlled Equity Offering Sales Agreement • May 6th, 2024 • Guggenheim Strategic Opportunities Fund

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 16, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • November 27th, 2013 • Tortoise Energy Infrastructure Corp

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of November 27, 2013, by and among Tortoise Energy Infrastructure Corporation, a Maryland corporation (the “Fund”), Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement (as defined below).

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FIRST AMENDMENT TO CONTROLLED EQUITY OFFERING SALES AGREEMENT
Controlled Equity Offering Sales Agreement • March 26th, 2003 • Anworth Mortgage Asset Corp • Real estate investment trusts
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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FORM OF SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 16, 2021
Controlled Equity Offering Sales Agreement • September 17th, 2021 • Guggenheim Strategic Opportunities Fund

THIS SECOND AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 16, 2021, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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FIRST AMENDMENT TO TORTOISE ENERGY CAPITAL CORPORATION COMMON STOCK ($0.001 PAR VALUE) CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • April 22nd, 2010 • Tortoise Energy Capital Corp

THIS AMENDMENT TO (the “Amendment”) the Controlled Equity Offering Sales AgreementSM dated as of August 3, 2009 (the “Sales Agreement”) is made and entered into effective as of April 21, 2010, by and between Tortoise Energy Capital Corporation, a Maryland corporation (the “Fund”), the Fund’s investment adviser, Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Cantor Fitzgerald & Co. (“CF&Co.”).

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FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 11, 2017
Controlled Equity Offering Sales Agreement • September 11th, 2017 • Guggenheim Strategic Opportunities Fund

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 11, 2017, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FOURTH AMENDMENT TO CONTROLLED EQUITY OFFERING℠ SALES AGREEMENT May 3, 2024
Controlled Equity Offering Sales Agreement • May 9th, 2024 • Guggenheim Strategic Opportunities Fund

THIS FOURTH AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of May 3, 2024, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021
Controlled Equity Offering Sales Agreement • February 2nd, 2021 • Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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COMMON STOCK ($0.001 PAR VALUE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT October 16, 2015
Controlled Equity Offering Sales Agreement • October 16th, 2015 • Tortoise MLP Fund, Inc.

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of October 16, 2015, by and among Tortoise MLP Fund, Inc., a Maryland corporation (the “Fund”), Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement (as defined below).

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BGC PARTNERS, INC.
Controlled Equity Offering Sales Agreement • February 11th, 2022

This summary highlights selected information from this prospectus, but may not contain all information that may be important to you. The following summary is qualified in its entirety by the more detailed information included in or incorporated by reference into this prospectus. For a more complete understanding of the terms of our Class A common stock, and before making your investment decision, you should carefully read this entire prospectus and the documents referred to in “Where You Can Find More Information” and “Documents Incorporated by Reference.” See the “Certain Defined Terms” section beginning on page vi of this prospectus for the definition of certain terms used in this prospectus.

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Controlled Equity OfferingSM Sales Agreement
Controlled Equity Offering Sales Agreement • August 31st, 2012 • Cerus Corp • Surgical & medical instruments & apparatus • New York

Cerus Corporation, a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (“Agent”), as follows:

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CAPLEASE, INC. 19,000,000 SHARES OF COMMON STOCK AND 1,000,000 SHARES OF SERIES A PREFERRED STOCK AND 1,000,000 SHARES OF SERIES B PREFERRED STOCK AMENDED AND RESTATED CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • December 31st, 2012 • CapLease, Inc. • Real estate investment trusts • New York

Reference is made to that certain Controlled Equity Offering Sales Agreement dated May 25, 2012 (as amended, the “Original Agreement”) between Cantor Fitzgerald & Co. (“CF&Co”), CapLease, Inc., a Maryland corporation (the “Company”), and Caplease, LP, a Delaware limited partnership (the “Operating Partnership”). The parties desire to amend and restate the Original Agreement on the terms and subject to the conditions set forth herein, to increase the maximum number of shares of the Company’s common stock, par value $0.01 per share (the “Common Stock”) it may issue and sell through CF&Co, acting as agent and/or principal, from 9,000,000 shares of Common Stock authorized in the Original Agreement to 19,000,000 shares of Common Stock (the “Common Shares”).

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Limited
Controlled Equity Offering Sales Agreement • May 24th, 2017
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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND Common Shares ($0.01 par value) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT
Controlled Equity Offering Sales Agreement • November 1st, 2013 • Guggenheim Strategic Opportunities Fund

THIS FIRST AMENDMENT (this “Amendment ”) to the Sales Agreement (defined below) is entered into on and as of November 1, 2013, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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ARCTURUS THERAPEUTICS HOLDINGS INC. AMENDMENT NO. 1 TO Controlled Equity OfferingSM Sales Agreement
Controlled Equity Offering Sales Agreement • August 7th, 2023 • Arcturus Therapeutics Holdings Inc. • Pharmaceutical preparations • New York
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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES ($0.01 PAR VALUE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT September 10, 2018
Controlled Equity Offering Sales Agreement • September 10th, 2018 • Guggenheim Strategic Opportunities Fund

THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of September 10, 2018, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) THIRD AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT March 27, 2023
Controlled Equity Offering Sales Agreement • April 11th, 2023 • Guggenheim Strategic Opportunities Fund

THIS THIRD AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of March 24, 2023, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.

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THIRD AMENDMENT TO TORTOISE ENERGY CAPITAL CORPORATION COMMON STOCK ($0.001 PAR VALUE)
Controlled Equity Offering Sales Agreement • April 19th, 2013 • Tortoise Energy Capital Corp

This THIRD AMENDMENT (the “Amendment”) to the Controlled Equity OfferingSM Sales Agreement dated as of August 3, 2009, as amended by the First Amendment thereto dated as of April 21, 2010 and the Second Amendment thereto dated as of April 21, 2011 (the “Sales Agreement”), is made and entered into effective as of April 19, 2013, by and between Tortoise Energy Capital Corporation, a Maryland corporation (the “Fund”), the Fund’s investment adviser, Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Cantor Fitzgerald & Co. (“CF&Co.”).

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TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) FOURTH AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT May 19, 2016
Controlled Equity Offering Sales Agreement • May 19th, 2016 • Tortoise Energy Infrastructure Corp

THIS FOURTH AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of May 19, 2016, by and among Tortoise Energy Infrastructure Corporation, a Maryland corporation (the “Fund”), Tortoise Capital Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (the “Agent”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement (as defined below).

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BGC PARTNERS, INC. Amendment No. 1 to Controlled Equity OfferingSM Sales Agreement
Controlled Equity Offering Sales Agreement • March 5th, 2021 • BGC Partners, Inc. • Security & commodity brokers, dealers, exchanges & services • New York
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