Common Contracts
75 similar Placement Agent Agreement contracts by Great Basin Scientific, Inc., BofI Holding, Inc., A123 Systems, Inc., others
EX-1 2 a16-20052_4ex1.htm EX-1 Execution Version CAPSTONE TURBINE CORPORATION 3,600,000 Shares of Common Stock Series A Warrants to Purchase 6,300,000 Shares of Common Stock and Pre-Funded Series B Warrants to Purchase 2,700,000 Shares of Common Stock...Placement Agent Agreement • May 5th, 2020 • New York
GREAT BASIN SCIENTIFIC, INC. ________ Units, Each Unit Consisting of One Share of Series G Mandatorily Convertible Preferred Stock and One Series I Warrant to Purchase ________ Shares of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • January 10th, 2017 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
GREAT BASIN SCIENTIFIC, INC. 3,160,000 Units, Each Unit Consisting of One Share of Common Stock and One Series G Warrants to Purchase One Share of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • May 26th, 2016 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
GREAT BASIN SCIENTIFIC, INC. Units, Each Unit Consisting of One Share of Common Stock and Series G Warrants to Purchase One Share of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • May 24th, 2016 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
GREAT BASIN SCIENTIFIC, INC. 39,200,000 Units, Each Unit Consisting of One Share of Common Stock andPlacement Agent Agreement • February 19th, 2016 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
GREAT BASIN SCIENTIFIC, INC. [●] Class A Units, Each Class A Unit Consisting of One Share of Common Stock andPlacement Agent Agreement • February 16th, 2016 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
GREAT BASIN SCIENTIFIC, INC. [●] Class A Units, Each Class A Unit Consisting of One Share of Common Stock and One Series E Warrant to Purchase One Share of Common Stock and [●] Class B Units, Each Class B Unit Consisting of One Pre- Funded Series F...Placement Agent Agreement • February 9th, 2016 • Great Basin Scientific, Inc. • Surgical & medical instruments & apparatus • New York
PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • October 30th, 2015 • Uqm Technologies Inc • Electronic components, nec • New York
. UQM Technologies, Inc., a Colorado corporation (the “Company”), proposes to issue and sell to the purchasers, pursuant to the terms and conditions of this Placement Agent Agreement (this “Agreement”) and the Subscription Agreements in the form of Exhibit A attached hereto (the “Subscription Agreements”) entered into with the purchasers identified therein (each a “Purchaser” and, collectively, the “Purchasers”), up to an aggregate of 8,000,000 units (the “Units”), with each Unit consisting of (i) one share of common stock (each a “Share”), $0.01 par value per share (the “Common Stock”) of the Company and (ii) one warrant to purchase 0.5 of a share of Common Stock (each a “Warrant,” and collectively, the “Warrants”). Units will not be issued or certificated. The Shares and Warrants are immediately separable and will be issued separately. The terms and conditions of the Warrants are set forth in Exhibit B attached hereto. The Company hereby confirms that Oppenheimer & Co. Inc. (“Oppenhe
REMARK MEDIA, INC. shares of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 31st, 2015 • Remark Media, Inc. • Communications services, nec • New York
CLEAN DIESEL TECHNOLOGIES INC. 1,385,000 shares of Common Stock Series A Warrants to Purchase 388,393 shares of Common Stock and Series B Warrants to Purchase 168,571 shares of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • November 4th, 2014 • Clean Diesel Technologies Inc • Industrial & commercial fans & blowers & air purifing equip • New York
1,170,000 Common Stock AIR INDUSTRIES GROUP PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • May 29th, 2014 • Air Industries Group • Aircraft parts & auxiliary equipment, nec • New York
PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • April 17th, 2014 • Tecogen Inc. • Air-cond & warm air heatg equip & comm & indl refrig equip • New York
PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 28th, 2014 • Efactor Group Corp. • Services-business services, nec • California
CORMEDIX INC. 2,960,000 Units Each Unit Consisting of One Share of Common Stock and 0.35 of a Warrant, Each to Purchase One Share of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 5th, 2014 • CorMedix Inc. • Pharmaceutical preparations • New York
If (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last seventeen (17) days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the sixteen (16)-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the eighteen (18)-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event.
Subordinated Convertible Notes and Warrants to Purchase Shares of Common Stock PACIFIC ETHANOL, INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 28th, 2013 • Pacific Ethanol, Inc. • Industrial organic chemicals • New York
1,020,409 Shares of Overland Storage, Inc. Common Stock, No Par Value PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • February 14th, 2013 • Overland Storage Inc • Computer storage devices • California
7,692,308 Shares of Common Stock, par value $0.001, and Warrants to Purchase Additional Shares of Common Stock A123 SYSTEMS, INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • July 6th, 2012 • A123 Systems, Inc. • Miscellaneous electrical machinery, equipment & supplies • New York
NILE THERAPEUTICS, INC. 3,350,000 shares of Common Stock and Warrants to purchase up to 2,512,500 shares of Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • April 2nd, 2012 • Nile Therapeutics, Inc. • Pharmaceutical preparations • New York
In addition, the undersigned hereby waives, from the date hereof until the expiration of the thirty (30) day period following the date of the Company’s final prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock or securities convertible into or exercisable or exchangeable for Common Stock that are registered in the name of the undersigned or that are Beneficially Owned Shares. In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of legends and/or stop transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock, securities convertible into or exercisable or exchangeable for Common Stock or Beneficially Owned Shares.
22,500,000 Units (Each Unit consisting of One Share of Common Stock, par value $0.001, and One Warrant to Purchase One Share of Common Stock) And up to 19,000,000 Additional Shares of Common Stock CAPSTONE TURBINE CORPORATION Common Stock (par value...Placement Agent Agreement • February 29th, 2012 • CAPSTONE TURBINE Corp • Engines & turbines • New York
12,500,000 Units Each Unit consisting of One Share of Common Stock, par value $0.001, and One Warrant to Purchase 1.0 Share of Common Stock And up to 12,500,000 Additional Shares of Common Stock A123 SYSTEMS, INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • January 20th, 2012 • A123 Systems, Inc. • Miscellaneous electrical machinery, equipment & supplies • New York
AMPIO PHARMACEUTICALS, INC. Common Stock (par value $0.0001) PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • December 21st, 2011 • Ampio Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
3,125,000 Shares of Common Stock and Warrants to Purchase up to 2,343,750 Shares of Common Stock CEREPLAST, INC. Common Stock (par value $0.001) PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • November 14th, 2011 • Cereplast Inc • Plastic materials, synth resins & nonvulcan elastomers • New York
LAZARD CAPITAL MARKETS LLC ARDOUR CAPITAL INVESTMENTS, LLC c/o Lazard Capital Markets LLC 30 Rockefeller Plaza New York, New York 10020
BofI Holding, Inc. 6% Series B Non-Cumulative Perpetual Convertible Preferred Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • October 4th, 2011 • BofI Holding, Inc. • Savings institution, federally chartered • California
BofI Holding, Inc. 6% Series B Non-Cumulative Perpetual Convertible Preferred Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • September 7th, 2011 • BofI Holding, Inc. • Savings institution, federally chartered • California
BofI Holding, Inc. 6% Series B Non-Cumulative Perpetual Convertible Preferred Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • September 2nd, 2011 • BofI Holding, Inc. • Savings institution, federally chartered • California
4,650,675 Shares of Common Stock and Warrants to Purchase up to 3,488,005 Shares of Common Stock NOVABAY PHARMACEUTICALS, INC. PLACEMENT AGENT AGREEMENT June 29, 2011Placement Agent Agreement • June 29th, 2011 • NovaBay Pharmaceuticals, Inc. • Pharmaceutical preparations • California
ALTAIR NANOTECHNOLOGIES INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 29th, 2011 • Altair Nanotechnologies Inc • Miscellaneous chemical products • New York
provided, however, that in the case of any transfer described in clause (1), (2) or (3) above, it shall be a condition to the transfer that (A) the transferee executes and delivers to the Placement Agent, not later than one business day prior to such transfer, a written agreement, in substantially the form of this agreement (it being understood that any references to “immediate family” in the agreement executed by such transferee shall expressly refer only to the immediate family of the undersigned and not to the immediate family of the transferee) and otherwise satisfactory in form and substance to JMP, and (B) if the undersigned is required to file a report under Section 16(a) of the Securities Exchange Act of 1934, as amended, reporting a reduction in beneficial ownership of Common Shares or Beneficially Owned Shares during the Lock-Up Period (as the same may be extended as described above), the undersigned shall include a statement in such report to the effect that, in the case of
2,225,000 Units THERMOGENESIS CORP. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 9th, 2011 • Thermogenesis Corp • Laboratory apparatus & furniture • New York
2,250,000 Units THERMOGENESIS CORP. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • March 7th, 2011 • Thermogenesis Corp • Laboratory apparatus & furniture • New York
21,130,400 Units INOVIO PHARMACEUTICALS, INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • January 24th, 2011 • Inovio Pharmaceuticals, Inc. • Surgical & medical instruments & apparatus • New York
10,160,428 Units Each Unit consisting of One Share of Common Stock, par value $0.0001, and One Warrant to Purchase 1.0 Share of Common Stock And up to 10,000,000 Additional Shares of Common Stock FUELCELL ENERGY, INC. PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • January 10th, 2011 • Fuelcell Energy Inc • Miscellaneous electrical machinery, equipment & supplies • New York
CLEVELAND BIOLABS, INC. Common Stock (par value $0.005) PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • December 29th, 2010 • Cleveland Biolabs Inc • Services-commercial physical & biological research • New York
Up to $5 million in Shares of Common Stock ARCADIA RESOURCES, INC. Common Stock (par value $0.001) PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • October 29th, 2010 • Arcadia Resources, Inc • Services-personal services • New York
6,685,183 Shares Warrants to Purchase 3,342,589 Shares ALEXZA PHARMACEUTICALS, INC. Common Stock PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • August 5th, 2010 • Alexza Pharmaceuticals Inc. • Pharmaceutical preparations • New York
6,592,989 Units ARROWHEAD RESEARCH CORPORATION PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • June 18th, 2010 • Arrowhead Research Corp • Services-commercial physical & biological research • New York