Disc Medicine, Inc. Shares of Common Stock (par value $0.0001 per share) Controlled Equity OfferingSM Sales AgreementSales Agreement • November 15th, 2024 • Disc Medicine, Inc. • Pharmaceutical preparations • New York
Disc Medicine, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as follows:
8.3 ADDITIONAL BROKER 11.10 NON-SOLICITATION OF EMPLOYEES RESPONSIBILITY WITH RESPECT TO AND AGENTS PHI 11.11 WAIVER 8.4 PRIVACY NOTICES AND AUTHORIZATION 11.12 COUNTERPARTSSales Agreement • April 25th, 2018 • New England Variable Life Separate Account • Delaware
ANNEXON, INC. COMMON STOCK SALES AGREEMENTSales Agreement • March 26th, 2024 • Annexon, Inc. • Pharmaceutical preparations • New York
Sow Good Inc. Shares of Common Stock SALES AGREEMENTSales Agreement • November 14th, 2024 • Sow Good Inc. • Food and kindred products
Sow Good Inc., a Delaware corporation (the “Company”), confirms as follows its agreements with Needham & Company, LLC (“Needham” or the “Sales Agent”).
WESTERN ASSET MORTGAGE OPPORTUNITY FUND INC. COMMON SHARES CAPITAL ON DEMAND™ SECOND AMENDED AND RESTATED SALES AGREEMENTSales Agreement • October 10th, 2024 • Western Asset Mortgage Opportunity Fund Inc. • New York
Western Asset Mortgage Opportunity Fund Inc., a Maryland corporation (the “Fund”), Franklin Templeton Fund Adviser, LLC, a Delaware limited liability company (f/k/a Legg Mason Partners Fund Advisor, LLC, the “Manager”), Western Asset Management Company, LLC, a California limited liability company (the “Subadviser”) and JonesTrading Institutional Services LLC (“Jones”) previously entered into a Capital on Demand™ Amended and Restated Sales Agreement dated May 12, 2021 (the “Original Agreement”). The parties hereby amend and restate the Original Agreement and collectively confirm their agreement in the form of this Capital on Demand™ Second Amended and Restated Sales Agreement (this “Agreement”), which supersedes and replaces the Original Agreement, as follows:
SALES AGREEMENTSales Agreement • March 5th, 2012 • Hatteras Financial Corp • Real estate investment trusts • New York
The Company and the Manager have also entered into a separate sales agreement (an “Alternative Sales Agreement”), dated as of even date herewith, with JMP Securities LLC (the “Alternative Agent”).
SALES AGREEMENTSales Agreement • October 30th, 2024 • MICROSTRATEGY Inc • Services-prepackaged software • New York
GLADSTONE COMMERCIAL CORPORATION UP TO $50,000,000 OF SHARES SERIES D PREFERRED STOCK CONTROLLED EQUITY OFFERINGSM SALES AGREEMENTSales Agreement • June 23rd, 2016 • Gladstone Commercial Corp • Lessors of real property, nec • New York
GLADSTONE COMMERCIAL CORPORATION, a Maryland corporation (the “Company”), and GLADSTONE COMMERCIAL LIMITED PARTNERSHIP, a Delaware limited partnership (the “Operating Partnership”), confirm their agreement (this “Agreement”) with Cantor Fitzgerald & Co. (“CF&Co”), as follows:
SALES AGREEMENTSales Agreement • August 15th, 2024 • Hawaii
This Agreement is made by CASTLE & COOKE HOMES HAWAII, INC., a Hawaii corporation (which will be called the "Seller"), and the person or persons named in Article II below (who will be called the "Buyer" even if there may be more than one person).
CASI PHARMACEUTICALS, inc. cOMMON STOCK SALES AGREEMENTSales Agreement • October 29th, 2021 • CASI Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
LIGAND PHARMACEUTICALS INCORPORATED DOCS® ATM financing facility $24,000,000 of Common Stock, $0.001 par value SALES AGREEMENT October 11, 2013Sales Agreement • October 16th, 2013 • Ligand Pharmaceuticals Inc • Pharmaceutical preparations • New York
THIS SALES AGREEMENT (the “Agreement”) dated as of October 11, 2013 between Meyers Associates, L.P. (doing business as Brinson Patrick, a division of Meyers Associates, L.P.), having its principal office at 3 Columbus Circle, 15th Floor, New York, New York 10019 (the “Sales Manager”) and Ligand Pharmaceuticals Incorporated, a corporation organized and existing under the laws of the State of Delaware (the “Company”).
Controlled Equity OfferingSM Sales AgreementSales Agreement • October 16th, 2019 • Guggenheim Taxable Municipal Managed Duration Trust • New York
Guggenheim Taxable Municipal Managed Duration Trust, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), confirm their agreement (this “Agreement”) with Cantor Fitzgerald & Co. (“CF&Co”), as follows:
Clearview Energy – Massachusetts Sales Agreement and Terms of Service For Residential and Small Commercial CustomersSales Agreement • July 5th, 2022
This Agreement is for electric supply service between Clearview Electric, Inc. dba Clearview Energy (“Clearview Energy”) and Customer. Customer and plan information can be found in the Product Information Chart. The Product Information Chart is hereby made an integral part of this Agreement.
RIVERNORTH OPPORTUNITIES FUND, INC. UP TO 3,300,000 SHARES OF COMMON STOCK Capital On Demand™ SALES AGREEMENTSales Agreement • September 4th, 2018 • Rivernorth Opportunities Fund, Inc. • New York
RiverNorth Opportunities Fund, Inc., a Maryland corporation (the “Fund”), ALPS Advisors Inc., a Colorado corporation (the “Adviser”), and RiverNorth Capital Management, LLC, a Delaware limited liability company (the “Subadviser” and together with the Adviser, the “Advisers”), confirm their agreement (this “Agreement”) with JonesTrading Institutional Services LLC (“Jones”), as follows:
Repare therapeutics inc. Common Shares SALES AGREEMENTSales Agreement • November 7th, 2024 • Repare Therapeutics Inc. • Pharmaceutical preparations • New York
GLADSTONE INVESTMENT CORPORATION Up to $75,000,000 Shares of Common Stock SALES AGREEMENTSales Agreement • May 14th, 2024 • Gladstone Investment Corporation\de • New York
Gladstone Investment Corporation, a corporation organized under the laws of Delaware (the “Company”), Gladstone Management Corporation, a Delaware corporation registered as an investment adviser (the “Adviser”), and Gladstone Administration, LLC, a Delaware limited liability company (the “Administrator”), confirm their agreement (this “Agreement”) with Oppenheimer & Co. Inc. (the “Agent”), as follows:
TIER REIT, INC. SHARES OF COMMON STOCK CONTROLLED EQUITY OFFERING SALES AGREEMENTSales Agreement • November 5th, 2018 • Tier Reit Inc • Real estate investment trusts • New York
TIER REIT, Inc., a Maryland corporation (the “Company”), and Tier Operating Partnership LP, a Texas limited partnership and the Company’s operating partnership (the “Operating Partnership”), confirm their agreement (this “Agreement”) with Robert W. Baird & Co. Incorporated (the “Agent”), as follows:
SALES AGREEMENT ALLMERICA INVESTMENTS, INC. 440 Lincoln Street Worcester, Massachusetts 01653 ------------------------------------------------------------------------------Sales Agreement • April 30th, 1998 • Separate Account Kg of Allmerica Fin Life Ins & Annuity Co
PHOENIX EQUITY PLANNING CORPORATION Hartford, CT 06115-0480Sales Agreement • April 28th, 2008 • Phoenix Insight Funds Trust • Connecticut
Phoenix Equity Planning Corporation (“PEPCO”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by PEPCO, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
Retail Opportunity Investments Corp. Common Stock ($0.0001 par value per share) SALES AGREEMENTSales Agreement • May 2nd, 2018 • Retail Opportunity Investments Partnership, LP • Real estate investment trusts • New York
SCHRÖDINGER, INC. Shares of Common Stock ($0.01 par value per share) AMENDED AND RESTATED SALES AGREEMENTSales Agreement • February 28th, 2024 • Schrodinger, Inc. • Pharmaceutical preparations • New York
Reference is made to that certain Sales Agreement, entered into as of May 24, 2023 (the “Original Sales Agreement”) by and between Schrödinger, Inc., a Delaware corporation (the “Company”), and Leerink Partners LLC (the “Agent”). The Company and the Agent now intend to enter into this Amended and Restated Sales Agreement (this “Agreement”) to amend and restate the terms of the Original Sales Agreement in its entirety. Therefore, the Company confirms its agreement with the Agent as follows:
MERSANA THERAPEUTICS, INC. common stock SALES AGREEMENTSales Agreement • February 28th, 2024 • Mersana Therapeutics, Inc. • Pharmaceutical preparations • New York
Mersana Therapeutics, Inc., a Delaware Corporation (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows:
Clearview Energy – District of Columbia Sales Agreement and Terms of Service For Residential and Small Commercial CustomersSales Agreement • March 31st, 2022
This Agreement is for electric supply service between Clearview Electric, Inc. dba Clearview Energy (“Clearview Energy”) and Customer. Customer and plan information can be found in the Product Information Chart. The Product Information Chart is hereby made an integral part of this Agreement. Clearview Energy is licensed as an electric supplier by the Public Service Commission of the District of Columbia (“PSC”) [Order # 15972]. Clearview Energy establishes your electric supply rate. The PSC regulates the distribution rates of your electric utility company (“Utility”). The Federal Energy Regulatory Commission regulates transmission prices and services.
Clearview Energy – Rhode Island Sales Agreement and Terms of Service For Residential and Small Commercial CustomersSales Agreement • January 27th, 2022
This Agreement is for electric supply service between Clearview Electric, Inc. dba Clearview Energy (“Clearview Energy”) and Customer. Customer and plan information can be found in the Product Information Chart. The Product Information Chart is hereby made an integral part of this Agreement. Clearview Energy is licensed as an electric supplier by the Rhode Island Public Utility Commission (“PUC”) [Docket # D-96-6(R5)].
KILROY REALTY CORPORATION SALES AGREEMENTSales Agreement • December 12th, 2014 • Kilroy Realty, L.P. • Real estate investment trusts • New York
Commission has not notified the Company of any objection to the use of the form of the Registration Statement or any post-effective amendment thereto; the Company has not received from the Commission any notice pursuant to Rule 401(g)(2) of the Securities Act objecting to the use of the automatic shelf registration statement form; and to our knowledge FINRA has not raised objection to the fairness and reasonableness of the underwriting terms and arrangements;
Exhibit 1.1 CONTROLLED EQUITY OFFERING(SM) SALES AGREEMENT [Date] Cantor Fitzgerald & Co. 110 East 59th Street New York, New York 10022 Dear Sirs/Ladies: DryShips Inc., a Marshall Islands corporation (the "Company"), confirms its agreement (this...Sales Agreement • April 24th, 2006 • DryShips Inc. • Deep sea foreign transportation of freight • New York
SPROTT PHYSICAL GOLD AND SILVER TRUST Trust Units Amended and Restated Sales AgreementSales Agreement • November 2nd, 2020 • Sprott Physical Gold & Silver Trust • Commodity contracts brokers & dealers • New York
Reference is made to the Controlled Equity OfferingSM Sales Agreement, dated March 1, 2019, including the Schedules thereto (the “Sales Agreement”), by and among Sprott Physical Gold and Silver Trust, a trust formed and organized under the laws of the Province of Ontario (the “Trust”), and managed by Sprott Asset Management LP, a limited partnership organized under the laws of the Province of Ontario (the “Manager”), Cantor Fitzgerald & Co. (“Cantor”) and Virtu Americas LLC (“Virtu” and together with Cantor, the “U.S. Agents”, and each a “U.S. Agent”), as amended by Amendment No. 1 thereto dated January 29, 2020 pursuant to which the Trust agreed to sell through the U.S Agents, as sales agents, units of the Trust. The Trust, the Manager, the U.S. Agents and Virtu ITG Canada Corp. (the “Canadian Agent” and together with the U.S. Agents, the “Agents”, and each an “Agent”) each confirm their agreement (this “Agreement”) that the Sales Agreement is amended and restated and superseded in it
GAMCO Global Gold, Natural Resources & Income Trust SALES AGREEMENT $500,000,000 value of Common Shares of Beneficial Interest Par Value $0.001 Per Share SALES AGREEMENTSales Agreement • April 24th, 2024 • GAMCO Global Gold, Natural Resources & Income Trust • New York
CIPHER MINING INC. Shares of Common Stock (par value $0.001 per share) Controlled Equity OfferingSM Amended and Restated Sales AgreementSales Agreement • September 3rd, 2024 • Cipher Mining Inc. • Finance services • New York
Cipher Mining Inc., a Delaware corporation (the “Company”), and Cantor Fitzgerald & Co., Canaccord Genuity LLC, Compass Point Research & Trading, LLC, Needham & Company, LLC and Virtu Americas LLC (each, the “Existing Agents”) are parties to that certain Controlled Equity OfferingSM Sales Agreement dated August 3, 2023, as amended by Amendment No. 1 dated March 6, 2024 (the “Original Agreement”). Each of the Company and the Existing Agents, together with Keefe, Bruyette & Woods, Inc. (“KBW”) and BTIG, LLC (“BTIG”; each of the Existing Agents, KBW and BTIG individually an “Agent” and together, the “Agents”) desire to amend and restate the Original Agreement as set forth in this agreement (“Agreement”), as follows:
SALES AGREEMENTSales Agreement • March 31st, 2022 • Pimco Funds • New York
This Sales Agreement (“Agreement”) is made as of , 20 by and among PIMCO Investments LLC (“Distributor”), a Delaware limited liability company, and (“Intermediary”), a .
Clearview Energy – New Jersey Sales Agreement and Terms of Service For Residential and Small Commercial CustomersSales Agreement • February 18th, 2016
This Agreement is for electric supply service between Clearview Electric, Inc. dba Clearview Energy (“Clearview Energy”) and Customer. The Plan Information Chart is hereby made an integral part of this Agreement. Clearview Energy is licensed as an electric power supplier by the New Jersey Board of Public Utilities (“BPU”) [License # ESL-0089]. Clearview Energy establishes your electric supply rate. The BPU regulates the distribution rates of your Local Distribution Company (“LDC”).
VP Distributors, Inc. Hartford, CT 06103Sales Agreement • December 22nd, 2009 • Virtus Equity Trust • Connecticut
VP Distributors, Inc. (“VPD”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by VPD, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
VP Distributors, Inc. Hartford, CT 06103Sales Agreement • September 24th, 2010 • Virtus Equity Trust • Connecticut
VP Distributors, Inc. (“VPD”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by VPD, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
UP TO $100,000,000 OF SHARES SALES AGREEMENTSales Agreement • December 28th, 2017 • Chatham Lodging Trust • Real estate investment trusts • New York
CHATHAM LODGING TRUST, a Maryland real estate investment trust (the “Company”), and CHATHAM LODGING, L.P., a Delaware limited partnership (the “Operating Partnership”), confirm their agreement (this “Agreement”) with WELLS FARGO SECURITIES, LLC (the “Agent”), as follows:
SALES AGREEMENTSales Agreement • August 21st, 2014 • Rhode Island
The Agreement (the “Agreement”) between Blue Cross & Blue Shield of Rhode Island (hereinafter referred to as “BCBSRI”) and the Group indicated below (hereinafter referred to as “GROUP”) is effective on the first date of the Initial Term, as set forth in Section III of the Agreement.
