Ellington Financial Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: September 30, 2024Equity Distribution Agreement • September 30th, 2024 • Ellington Financial Inc. • Real estate • New York
AILERON THERAPEUTICS, INC. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: July 26, 2024Equity Distribution Agreement • July 26th, 2024 • Aileron Therapeutics, Inc. • Pharmaceutical preparations • New York
ELLINGTON RESIDENTIAL MORTGAGE REIT COMMON SHARES OF BENEFICIAL INTEREST EQUITY DISTRIBUTION AGREEMENT DATED: November 14, 2023Equity Distribution Agreement • November 15th, 2023 • Ellington Residential Mortgage REIT • Real estate investment trusts • New York
Ellington Financial Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: November 13, 2023Equity Distribution Agreement • November 14th, 2023 • Ellington Financial Inc. • Real estate • New York
Ellington Financial Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: November 13, 2023Equity Distribution Agreement • November 14th, 2023 • Ellington Financial Inc. • Real estate • New York
Genprex, Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: November 18, 2022Equity Distribution Agreement • November 18th, 2022 • Genprex, Inc. • Pharmaceutical preparations • New York
e LAVA THERAPEUTICS N.V.$50,000,000Common StockEQUITY DISTRIBUTION AGREEMENTDated: April 11, 2022Equity Distribution Agreement • April 12th, 2022 • LAVA Therapeutics NV • Pharmaceutical preparations • New York
Two Harbors Investment Corp. 31,302,700 Shares of Common Stock AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated: August 13, 2021Equity Distribution Agreement • August 13th, 2021 • Two Harbors Investment Corp. • Real estate investment trusts • New York
New York Mortgage Trust, Inc. Up to $100,000,000 Shares of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 10, 2021Equity Distribution Agreement • August 11th, 2021 • New York Mortgage Trust Inc • Real estate investment trusts • New York
Ellington Financial Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 6, 2021Equity Distribution Agreement • August 9th, 2021 • Ellington Financial Inc. • Real estate • New York
PLx Pharma Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 6, 2021Equity Distribution Agreement • August 6th, 2021 • PLx Pharma Inc. • Pharmaceutical preparations • New York
Marin Software Incorporated Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 2, 2021Equity Distribution Agreement • August 3rd, 2021 • Marin Software Inc • Services-computer processing & data preparation • New York
Marin Software Incorporated Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: July 15, 2021Equity Distribution Agreement • July 15th, 2021 • Marin Software Inc • Services-computer processing & data preparation • New York
Ready Capital Corporation $150,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • July 9th, 2021 • Ready Capital Corp • Real estate investment trusts • New York
Ready Capital Corporation, a Maryland corporation (the “Company”), Sutherland Partners, L.P., a Delaware limited partnership (the “Operating Partnership”), and Waterfall Asset Management, LLC, a Delaware limited liability company (the “Manager”), each confirms its agreement (this “Agreement”) with JMP Securities LLC (the “Placement Agent”), as follows:
Capstead Mortgage Corporation Shares of Common Stock and Shares of 7.50% Series E Cumulative Redeemable Preferred Stock EQUITY DISTRIBUTION AGREEMENT Dated: January 12, 2021Equity Distribution Agreement • January 12th, 2021 • Capstead Mortgage Corp • Real estate investment trusts • New York
Capstead Mortgage Corporation, a Maryland corporation (the “Company”), confirms its agreement (this “Agreement”) with [BANK NAME] (the “Placement Agent”), as follows:
MARINUS PHARMACEUTICALS, INC. Shares of Common Stock EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • July 9th, 2020 • Marinus Pharmaceuticals Inc • Pharmaceutical preparations • New York
EX-1.1 2 mrns-20170930ex110f5e834.htm EX-1.1 MARINUS PHARMACEUTICALS, INC. Shares of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: October 31, 2017Equity Distribution Agreement • May 5th, 2020 • New York
Exhibit A – Form of Placement Notice Exhibit B – Authorized Individuals for Placement Notices and Acceptances Exhibit C – Compensation Exhibit D – Form of Corporate Opinion of Duane Morris LLP Exhibit E – Officer Certificate Exhibit F – Issuer Free Writing Prospectuses
iCad, Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: March 30, 2020Equity Distribution Agreement • March 31st, 2020 • Icad Inc • Surgical & medical instruments & apparatus • New York
iCad, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with JMP Securities LLC (the “Placement Agent”), as follows:
Mitcham Industries, Inc. 9.00% Series A Cumulative Preferred Stock AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated: December 18, 2019Equity Distribution Agreement • December 18th, 2019 • Mitcham Industries Inc • Services-equipment rental & leasing, nec • New York
This AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT (this “Agreement”), dated as of December 18, 2019 (the “Effective Date”), is entered into by and between Mitcham Industries, Inc., a Texas corporation (the “Company”) and Ladenburg Thalmann & Co. Inc. (the “Placement Agent”).
Sorrento Therapeutics, Inc. $75,000,000 Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: October 1, 2019Equity Distribution Agreement • October 1st, 2019 • Sorrento Therapeutics, Inc. • Services-commercial physical & biological research • New York
Sorrento Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with JMP Securities LLC (the “Placement Agent”), as follows:
EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • April 3rd, 2019 • Ellington Financial Inc. • Real estate • New York
New York Mortgage Trust, Inc. Up to $50,000,000 of 7.75% Series B Cumulative Redeemable Preferred Stock ($0.01 par value per share) 7.875% Series C Cumulative Redeemable Preferred Stock ($0.01 par value per share) 8.00% Series D Fixed-to-Floating Rate...Equity Distribution Agreement • March 29th, 2019 • New York Mortgage Trust Inc • Real estate investment trusts • New York
New York Mortgage Trust, Inc., a Maryland corporation (the “Company”), confirms its agreement (this “Agreement”) with JonesTrading Institutional Services LLC (the “Placement Agent”), as follows:
PLx Pharma Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: March 25, 2019Equity Distribution Agreement • March 25th, 2019 • PLx Pharma Inc. • Pharmaceutical preparations • New York
Marin Software Incorporated Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: March 14, 2019Equity Distribution Agreement • March 14th, 2019 • Marin Software Inc • Services-computer processing & data preparation • New York
Two Harbors Investment Corp. 35,000,000 Shares of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: February 8, 2019Equity Distribution Agreement • February 8th, 2019 • Two Harbors Investment Corp. • Real estate investment trusts • New York
Two Harbors Investment Corp., a Maryland corporation (the “Company”) confirms its agreement (this “Agreement”) with Credit Suisse Securities (USA) LLC (the “Placement Agent”), as follows:
Idera Pharmaceuticals, Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: November 26, 2018Equity Distribution Agreement • November 26th, 2018 • Idera Pharmaceuticals, Inc. • Biological products, (no disgnostic substances) • New York
Idera Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with JMP Securities LLC (the “Placement Agent”), as follows:
Sutherland Asset Management Corporation $100,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 31, 2018Equity Distribution Agreement • September 4th, 2018 • Sutherland Asset Management Corp • Real estate investment trusts • New York
Sutherland Asset Management Corporation $100,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 31, 2018Equity Distribution Agreement • September 4th, 2018 • Sutherland Asset Management Corp • Real estate investment trusts • New York
Sutherland Asset Management Corporation $100,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 31, 2018Equity Distribution Agreement • September 4th, 2018 • Sutherland Asset Management Corp • Real estate investment trusts • New York
EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • June 29th, 2018 • Ellington Financial LLC • Real estate • New York
Veritone, Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: June 1, 2018Equity Distribution Agreement • June 1st, 2018 • Veritone, Inc. • Services-computer processing & data preparation • New York
MARINUS PHARMACEUTICALS, INC. Shares of Common Stock EQUITY DISTRIBUTION AGREEMENTEquity Distribution Agreement • October 31st, 2017 • Marinus Pharmaceuticals Inc • Pharmaceutical preparations • New York
Exhibit A – Form of Placement Notice Exhibit B – Authorized Individuals for Placement Notices and Acceptances Exhibit C – Compensation Exhibit D – Form of Corporate Opinion of Duane Morris LLP Exhibit E – Officer Certificate Exhibit F – Issuer Free Writing Prospectuses
New York Mortgage Trust, Inc.Up to $100,000,000Shares of Common Stock EQUITY DISTRIBUTION AGREEMENTDated: August 10, 2017Equity Distribution Agreement • August 11th, 2017 • New York Mortgage Trust Inc • Real estate investment trusts • New York
CYS Investments, Inc. 20,000,000 Shares of Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 4, 2017Equity Distribution Agreement • August 4th, 2017 • CYS Investments, Inc. • Real estate investment trusts • New York
Arlington Asset Investment Corp. Up to 1,865,000 Shares of 7.00% Series B Cumulative Perpetual Redeemable Preferred Stock ($0.01 par value per share) EQUITY DISTRIBUTION AGREEMENT Dated: May 16, 2017Equity Distribution Agreement • May 17th, 2017 • Arlington Asset Investment Corp. • Investors, nec • New York