AMENDMENT NO. 2 TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm Sales Agreement • November 2nd, 2023 • Cerus Corp • Surgical & medical instruments & apparatus • New York
Cerus Corporation (the “Company”), Cantor Fitzgerald & Co. (“Cantor”) and Stifel, Nicolaus & Company, Incorporated (“Stifel”, each of Cantor and Stifel individually an “Agent” and collectively, the “Agents”) are parties to that certain Controlled Equity OfferingSM Sales Agreement, dated December 11, 2020, as amended by Amendment No. 1 to Controlled Equity OfferingSM Sales Agreement, dated March 1, 2023 (as amended, the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties hereto, intending to be legally bound, hereby amend the Original Agreement as follows:
AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm 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”).
TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) THIRD AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT December 16, 2015Controlled Equity Offeringsm Sales Agreement • December 18th, 2015 • Tortoise Energy Infrastructure Corp
THIS THIRD AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of December 16, 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).
TORTOISE MLP FUND, INC. COMMON STOCK ($0.001 PAR VALUE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT December 16, 2015Controlled Equity Offeringsm 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).
AMENDMENT NO. 1 TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm Sales Agreement • March 18th, 2022 • Asensus Surgical, Inc. • Surgical & medical instruments & apparatus • New York
Asensus Surgical, Inc. (the “Company”), Cantor Fitzgerald & Co. (“Cantor”), Robert W. Baird & Co. Incorporated (“Baird”) and Oppenheimer & Co. Inc. (“Oppenheimer”, each of Cantor, Baird and Oppenheimer individually an “Agent” and collectively, the “Agents”) are parties to that certain Controlled Equity OfferingSM Sales Agreement dated May 19, 2021 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties hereto, intending to be legally bound, hereby amend the Original Agreement as follows:
GUGGENHEIM CREDIT ALLOCATION FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021Controlled Equity Offeringsm Sales Agreement • February 2nd, 2021 • Guggenheim Credit Allocation 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 Credit Allocation 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.
TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) SECOND AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT October 1, 2015Controlled Equity Offeringsm 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).
AMENDMENT NO. 1 TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm Sales Agreement • March 1st, 2023 • Cerus Corp • Surgical & medical instruments & apparatus • New York
Cerus Corporation (the “Company”), Cantor Fitzgerald & Co. (“Cantor”) and Stifel, Nicolaus & Company, Incorporated (“Stifel”, each of Cantor and Stifel individually an “Agent” and collectively, the “Agents”) are parties to that certain Controlled Equity OfferingSM Sales Agreement dated December 11, 2020 (the “Original Agreement”). All capitalized terms not defined herein shall have the meanings ascribed to them in the Original Agreement. The parties hereto, intending to be legally bound, hereby amend the Original Agreement as follows:
TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) FIFTH AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT December 12, 2017Controlled Equity Offeringsm Sales Agreement • December 13th, 2017 • Tortoise Energy Infrastructure Corp
THIS FIFTH AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of December 12, 2017, 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).
CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm Sales Agreement • July 11th, 2003 • Puget Energy Inc /Wa • Electric services • New York
Puget Energy, Inc., a Washington corporation (the “Company”), confirms its agreement (“Agreement”) with Cantor Fitzgerald & Co. (“CF&Co”), as follows:
AMENDMENT NO. 1Controlled Equity Offeringsm 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
TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) SIXTH AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT April 27, 2018Controlled Equity Offeringsm Sales Agreement • April 27th, 2018 • Tortoise Energy Infrastructure Corp
THIS SIXTH AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of April 27, 2018, by and among Tortoise Energy Infrastructure Corporation, 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).
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND Common Shares ($0.01 par value) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm 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.
AMENDMENT NO. 1 TO THE CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTControlled Equity Offeringsm Sales Agreement • August 8th, 2012 • CapLease, Inc. • Real estate investment trusts
THIS AMENDMENT NO. 1, dated as of August 6, 2012 (this “Amendment”), by and among CAPLEASE, INC., a Maryland corporation (the “Company”), CAPLEASE, LP, a Delaware limited partnership (the “Operating Partnership”), and Cantor Fitzgerald & Co. (“CF&Co”), is an amendment to the Controlled Equity OfferingSM Sales Agreement, dated May 25, 2012 (the “Agreement”) among the Company, the Operating Partnership and CF&Co.
TORTOISE ENERGY INFRASTRUCTURE CORPORATION COMMON STOCK ($0.001 PAR VALUE) FOURTH AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT May 19, 2016Controlled Equity Offeringsm 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).
Amendment No. 1 to the Controlled Equity OfferingSM Sales AgreementControlled Equity Offeringsm Sales Agreement • May 25th, 2018 • OncoMed Pharmaceuticals Inc • Pharmaceutical preparations
This Amendment No. 1 (this “Amendment”) is effective as of March 22, 2018 (the “Amendment Date”), and modifies the Controlled Equity OfferingSM Sales Agreement, dated June 12, 2015 (the “Sales Agreement”), by and between Cantor Fitzgerald & Co. (“CF&Co”) and OncoMed Pharmaceuticals, Inc. (“OncoMed”). OncoMed and CF&Co are sometimes referred to herein individually as a “Party” and collectively as the “Parties.” Capitalized terms not defined herein shall have the meanings ascribed to them in the Sales Agreement.
