RECITALSPreferred Stock Exchange Agreement • November 2nd, 2004 • Cadiz Inc • Agricultural services • California
From: LiveOne, Inc.Preferred Stock Exchange Agreement • April 5th, 2024 • LiveOne, Inc. • Retail-eating places
This Preferred Stock Exchange and Warrants Issuance Letter Agreement (this “Agreement”), dated as of the first date written above, is entered into between LiveOne, Inc., a Delaware corporation (the “Company”), and Harvest Small Cap Partners, L.P. (the “Holder”) as the holder of shares of the Company’s Series A Perpetual Convertible Preferred Stock (the “Preferred Stock”), to confirm the agreement between the Company and the Holder to exchange (i) such amount of the Holder’s shares of Preferred Stock (as indicated on the signature page hereto (collectively, the “Exchange Amount”) into shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), at the rate equal to (x) $2.10 per share (y) multiplied by 1,000 as the Stated Value (as defined in the Certificate of Designation (as defined below)) of the Preferred Stock (the “Exchange Price”), and (ii) to issue warrants to purchase shares of Common Stock, in the form attached hereto as Exhibit A (the “Warrants”), in
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 5th, 2020 • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is dated as of February 15, 2017, by and between Sevion Therapeutics, Inc., a Delaware corporation (the “Company”), and the holder listed on the signature page hereto (the “Holder”).
ContractPreferred Stock Exchange Agreement • December 27th, 2022 • Carrols Restaurant Group, Inc. • Retail-eating places • Delaware
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • March 27th, 2020 • Muliang Agritech, Inc. • Agricultural chemicals • New York
This Exchange Agreement (the “Agreement”) is entered into as of the 10th day of October, 2019, by and among Muliang Agritech, Inc., a Nevada corporation (the “Company”), and the shareholder Mr. Lirong Wang signatory hereto (the “Shareholder”), with reference to the following facts:
PREFERRED STOCK EXCHANGE AGREEMENT Dated as of December 30, 2004 By and Between GRUBB & ELLIS COMPANY and KOJAIAN VENTURES, L.L.C.Preferred Stock Exchange Agreement • January 6th, 2005 • Grubb & Ellis Co • Real estate agents & managers (for others) • Delaware
This Preferred Stock Exchange Agreement (the “Agreement”) is made as of this 30th day of December, 2004 by and between Grubb & Ellis Company, a Delaware corporation (the “Company”) and Kojaian Ventures, L.L.C., a Michigan limited liability (“KV”).
FIRST AMENDMENT TO PREFERRED STOCK EXCHANGE AGREEMENT THIS FIRST AMENDMENT TO PREFERRED STOCK EXCHANGE AGREEMENT, made and entered into as of July 22, 1998, between and among Hayes Corporation, a Delaware corporation (the "Corporation"), and each...Preferred Stock Exchange Agreement • August 18th, 1998 • Hayes Corp • Services-computer integrated systems design
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • June 25th, 2013 • Senesco Technologies Inc • Services-commercial physical & biological research • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”), dated as of June [__], 2013, by and between Senesco Technologies, Inc., a Delaware corporation (the “Company”), and [_________________] (the “Holder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • November 8th, 2000 • Pease Oil & Gas Co /Co/ • Crude petroleum & natural gas • Colorado
THIS AGREEMENT dated effective November 1, 2000, is by and between PEASE OIL AND GAS COMPANY, a Nevada corporation (“Company”) and the undersigned, each of which is a holder of the Company’s Series B 5% PIK Cumulative Convertible Preferred Stock (each holder is referred to herein as a “Holder” and all the holders are referred together as the “Holders”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • July 25th, 2006 • New Horizons Worldwide Inc • Services-educational services • Delaware
This Preferred Stock Exchange Agreement (this “Agreement”), is entered into as of July 19, 2006, by and among New Horizons Worldwide, Inc., a Delaware corporation (the “Company”), Camden Partners Strategic Fund III, L.P., a Delaware limited partnership (“Camden III”), and Camden Partners Strategic Fund III-A, L.P., a Delaware limited partnership (“Camden III-A” and collectively together with Camden III, “Camden”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 30th, 2008 • Astrata Group Inc • Measuring & controlling devices, nec • New York
This Preferred Stock Exchange Agreement (this “Agreement”) is dated as of May 29, 2008, by and among Astrata Group Incorporated, a Nevada corporation (the “Company”), Vision Opportunity China Fund Limited and Vision Opportunity Master Fund, Ltd. (collectively, the “Holder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • October 10th, 2014 • PostRock Energy Corp • Crude petroleum & natural gas • New York
This Preferred Stock Exchange Agreement (this “Agreement”) is made and entered into this 9th day of October, 2014, by and between PostRock Energy Corporation, a Delaware corporation (“PostRock”) and White Deer Energy L.P., a Cayman Islands exempted limited partnership, White Deer Energy TE L.P., a Cayman Islands exempted limited partnership, and White Deer Energy FI L.P., a Cayman Islands exempted limited partnership (collectively, “White Deer” and together with PostRock, the “Parties” and each individually, a “Party”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • November 14th, 2017 • GT Biopharma, Inc. • Pharmaceutical preparations • New York
This Preferred Stock Exchange Agreement (this “Agreement”) is entered into as of August 29, 2017, by and among GT Biopharma, Inc., a Delaware corporation (the “Company”), and the parties listed on Schedule A hereto.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • January 23rd, 2018 • Jason Industries, Inc. • Miscellaneous manufacturing industries • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is entered into as of January ___, 2018 (the “Effective Date”), by and between Jason Industries, Inc., a Delaware corporation (the “Company”), and [_______] (the “Stockholder”). The Company and the Stockholder shall individually be referred to herein as a “Party” and, collectively, as the “Parties”.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • December 3rd, 2010 • Entech Solar, Inc. • Pumps & pumping equipment • Delaware
THIS PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made and entered into as of November 29, 2010, by and among The Quercus Trust (“Quercus”), and Entech Solar, Inc., a Delaware corporation (the “Company”).
FIRST AMENDMENT TO PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 11th, 2021 • Monaker Group, Inc. • Transportation services • Nevada
This First Amendment to Preferred Stock Exchange Agreement (this “Agreement”), dated May 10, 2021 and effective as of May 6, 2021 (the “Effective Date”), amends that certain Preferred Stock Exchange Agreement dated May 6, 2021 (the “Exchange Agreement”), by and between Monaker Group, Inc., a Nevada corporation (the “Company”) and International Financial Enterprise Bank, Inc. (“IFEB”), each a “Party” and collectively the “Parties”. Certain capitalized terms used below but not otherwise defined shall have the meanings given to such terms in the Exchange Agreement.
PREFERRED STOCK EXCHANGE AGREEMENT DRYSHIPS INC.Preferred Stock Exchange Agreement • March 13th, 2017 • DryShips Inc. • Deep sea foreign transportation of freight • New York
This Preferred Stock Exchange Agreement (the "Agreement") is made as of March 24, 2016 by and between DRYSHIPS INC., a Marshall Islands corporation (the "Company"), and SIFNOS SHAREHOLDERS INC., a Marshall Islands corporation (the "Seller").
EX-10.38 8 dex1038.htm PREFERRED STOCK EXCHANGE AGREEMENT THE INFORMATION CONTAINED IN THIS AGREEMENT AND OTHER MATERIALS SUPPLIED TO THE HOLDERS OF SHARES OF THE COMPANY’S SERIES A PREFERRED STOCK IN CONNECTION WITH THE TRANSACTIONS CONTEMPLATED...Preferred Stock Exchange Agreement • May 5th, 2020 • Delaware
THIS PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made and entered into as of October 29, 2009 (the “Signing Date”), by and between Nexxus Lighting, Inc., a Delaware corporation (the “Company”), and each of the holders (individually, a “Shareholder,” and collectively, the “Shareholders”) of shares of the Company’s Series A Preferred Stock, $.001 par value per share (the “Series A Shares”) set forth on Schedule I hereto. The Company and the Shareholders are sometimes referred to herein individually as a “Party” or collectively as the “Parties.” Certain capitalized terms used herein are defined in Section 7.07 of this Agreement.
FAT BRANDS INC. PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • August 30th, 2021 • Fat Brands, Inc • Retail-eating places • California
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made and entered effective as of August 25, 2021 (the “Closing Date”) by and between FAT Brands Inc., a Delaware corporation (the “Company”), and the holder of Company securities set forth on the signature page hereto (the “Stockholder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • December 3rd, 2018 • Carrols Restaurant Group, Inc. • Retail-eating places • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT, dated as of November 30, 2018 (this “Agreement”), is made by and between Carrols Restaurant Group, Inc., a Delaware corporation (the “Company”), and Burger King Corporation, a Florida corporation (the “BKC” and each of BKC and the Company, a “Party” hereto).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • October 4th, 2021 • NextPlay Technologies Inc. • Transportation services • Nevada
This Preferred Stock Exchange Agreement (this “Agreement”) dated and effective September 28, 2021 (the “Effective Date”), is by and between, NextPlay Technologies, Inc., a Nevada corporation (the “Company”) and NextBank International, Inc. (f/k/a International Financial Enterprise Bank, Inc.) (“NextBank”), each a “Party” and collectively the “Parties”.
PREFERRED STOCK EXCHANGE AGREEMENT Dated as of December 30, 2004 By and Between GRUBB & ELLIS COMPANY and KOJAIAN VENTURES, L.L.C.Preferred Stock Exchange Agreement • January 6th, 2005 • Grubb & Ellis Co • Real estate agents & managers (for others) • Delaware
This Preferred Stock Exchange Agreement (the "Agreement") is made as of this 30th day of December, 2004 by and between Grubb & Ellis Company, a Delaware corporation (the "Company") and Kojaian Ventures, L.L.C., a Michigan limited liability ("KV").
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • January 8th, 2016 • Oxis International Inc • Pharmaceutical preparations • Delaware
This Preferred Stock Exchange Agreement (this “Agreement”) is entered into as of January 8, 2016, by and among OXIS International, Inc., a Delaware corporation (the “Company”), and the parties listed on Schedule A hereto.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • November 18th, 2024 • Lazydays Holdings, Inc. • Retail-auto dealers & gasoline stations • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is dated as of November 15, 2024, by and between Lazydays Holdings, Inc., a Delaware corporation (the “Company”), and the holder listed on the signature page hereto (the “Holder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 11th, 2021 • Monaker Group, Inc. • Transportation services • Nevada
This Preferred Stock Exchange Agreement (this “Agreement”) dated and effective May ____, 2021 (the “Effective Date”), is by and between, Monaker Group, Inc., a Nevada corporation (the “Company”) and International Financial Enterprise Bank, Inc. (“IFEB”), each a “Party” and collectively the “Parties”.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • November 25th, 2024 • Exela Technologies, Inc. • Services-business services, nec • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made and entered into as of the date set forth on the signature page hereto, by and between Exela Technologies, Inc., a Delaware corporation (the “Company”), and the holder listed on the signature page hereto (the “Holder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • October 30th, 2019 • Infrastructure & Energy Alternatives, Inc. • Blank checks • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”), dated as of October 29, 2019, is entered into by and among Infrastructure and Energy Alternatives, Inc., a Delaware corporation (the “Company”), Infrastructure and Energy Alternatives, LLC, a Delaware limited liability company (“IEA LLC”), and solely for the purposes of Section 2, Ares, OPPF, and OT Aggregator (each as defined below).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • March 3rd, 2009 • Paradigm Holdings, Inc • Services-computer integrated systems design • New York
THIS PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”), dated as of February 27, 2009, is by and among Paradigm Holdings, Inc., a Wyoming corporation (the “Company”), and the persons listed on Schedule I hereto (each a “Stockholder,” and, collectively, the “Stockholders”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • April 12th, 2013 • Fairway Group Holdings Corp • Retail-grocery stores • Delaware
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”), entered into as of April 1, 2013, is by and between FAIRWAY GROUP HOLDINGS CORP., a Delaware corporation (the “Company”), and each of the holders of Preferred Stock (as defined below) listed on the signature pages hereto (each, a “Stockholder”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 13th, 2013 • Institutional Financial Markets, Inc. • Security brokers, dealers & flotation companies • New York
This Preferred Stock Exchange Agreement (this “Agreement”) is made as of May 9, 2013, by and among Institutional Financial Markets, Inc., a corporation organized under the laws of the State of Maryland (the “Company”), Cohen Bros. Financial, LLC (“Cohen”), and Daniel G. Cohen.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • October 3rd, 2016 • Oxis International Inc • Pharmaceutical preparations • Delaware
This Preferred Stock Exchange Agreement (this "Agreement") is entered into as of January 8, 2016, by and among OXIS International, Inc., a Delaware corporation (the "Company"), and the parties listed on Schedule A hereto.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • February 21st, 2012 • Ivoice, Inc /Nj • Services-computer integrated systems design
This Preferred Stock Exchange Agreement (the “Exchange Agreement”) dated December 30, 2011 by and between Jerome Mahoney (“Mahoney”), an individual with offices at iVoice, Inc., 750 Highway 34, Matawan, NJ 07747, American Security Resources Corporation, (“ASRC”), a Nevada corporation, with offices at 19 Briar Hollow Lane, Suite 125, Houston, TX 77027, and B Green Innovations, Inc. (“B Green”), a New Jersey corporation, with offices at 750 Highway 34, Matawan, NJ 07747.
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • January 19th, 2007 • Inovio Biomedical Corp • Surgical & medical instruments & apparatus • California
THIS PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made and entered into as of September 15, 2006 by and among INOVIO BIOMEDICAL CORPORATION, a Delaware corporation (the “Company”), and , a (the “Investor”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • May 6th, 2011 • Viewcast Com Inc • Radio & tv broadcasting & communications equipment • Texas
This PREFERRED STOCK EXCHANGE AGREEMENT (this “Agreement”) is made effective as of May 4, 2011, by and between ViewCast.com, Inc., a Delaware corporation (the “Company”), and the holders of the Company’s Series B Convertible Preferred Stock, par value $0.0001 per share (the “Series B Preferred Stock”), Series C Convertible Preferred Stock, par value $0.0001 per share (the “Series C Preferred Stock”) and Series E Convertible Redeemable Preferred Stock, par value $0.0001 per share (the “Series E Preferred Stock, and collectively with the Series B Preferred and Series C Preferred, the “Preferred Stock”) listed on the signature pages hereto (each a “Holder,” and together, the “Holders”).
PREFERRED STOCK EXCHANGE AGREEMENTPreferred Stock Exchange Agreement • January 20th, 2009 • UpSnap, Inc. • General bldg contractors - residential bldgs
This PREFERRED STOCK EXCHANGE AGREEMENT (“Agreement”) is made effective as of January 8, 2009 by and among the individuals listed on the signature pages hereof (the “Sellers”) and UpSnap, Inc., a Nevada corporation (“UpSnap”).
