UNDERWRITING AGREEMENTUnderwriting Agreement • June 13th, 2025 • Hycroft Mining Holding Corp • Gold and silver ores • New York
Each Firm Unit shall consist of one share of the Company’s Class A common stock, $0.0001 par value per share (the “Common Stock” and each a “Firm Share” and, collectively, the “Firm Shares”) and one-half of one warrant, with each whole warrant (each a “Firm Warrant” and, collectively, the “Firm Warrants”) exercisable for one share of Common Stock. The Firm Warrants and Option Warrants (as defined below), as applicable, shall be created and issued pursuant to a Warrant Agent Agreement (the “Warrant Agent Agreement”), to be dated as of the Closing Date (as defined below) between the Company and Continental Stock Transfer & Trust Company, as warrant agent thereunder (the “Warrant Agent”), and each Firm Warrant and Option Warrant will entitle the holder thereof to acquire one share of Common Stock (each a “Warrant Share” and, collectively, the “Warrant Shares”) at a price of $4.20 per Warrant Share, for a period of 36 months from the Closing Date.
THE GROWHUB LIMITED UNDERWRITING AGREEMENTUnderwriting Agreement • March 11th, 2025 • GrowHub LTD • Services-computer processing & data preparation • New York
The undersigned, THE GROWHUB LIMITED, an exempted company with limited liability incorporated under the laws of the Cayman Islands (the “Company”), and that certain selling shareholder set forth on Schedule II hereto (the “Selling Shareholder”) hereby confirm their agreement (this “Agreement”) with the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Alexander Capital L.P. is acting as representative (in such capacity, the “Representative” and if there are no underwriters other than the Representative, references to multiple “Underwriters” shall be disregarded and the term Representative as used herein shall have the same meaning as “Underwriter”), in connection with the proposed initial public offering by the Company and the Selling Shareholder of the Shares (as defined below).
UNITS EACH UNIT CONSISTING OF ONE ORDINARY SHARE AND oNE WARRANT TO PURCHASE ONE ORDINARY SHARE INNOVATION BEVERAGE GROUP LIMITED UNDERWRITING AGREEMENTUnderwriting Agreement • August 29th, 2023 • Innovation Beverage Group LTD • Beverages • New York
The undersigned, INNOVATION BEVERAGE GROUP LIMITED, a company incorporated under the laws of Australia (the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which MAXIM GROUP LLC (“Maxim”) is acting as representative to the several Underwriters (in such capacity, the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
GLOBAL MOFY METAVERSE LIMITED ORDINARY SHARES, PAR VALUE US$0.000002 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • March 22nd, 2023 • Global Mofy Metaverse LTD • Services-computer programming, data processing, etc. • New York
Global Mofy Metaverse Limited, an exempted company incorporated in the Cayman Islands. (the “Company”), proposes to sell to the underwriters named in Schedule I (the “Underwriters”) to this agreement (the “Agreement”) for which Maxim Group LLC is acting as representative (in such capacity, the “Representative”) an aggregate of [●] ordinary shares, par value $0.000002 per share (“Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to an aggregate of (i) [●] additional Ordinary Shares (the “Option Shares” and collectively with the Firm Shares, the “Securities”) The offering and sale of the Securities contemplated by this Agreement is referred to herein as the “Offering”.
GLOBAL MOFY METAVERSE LIMITED ORDINARY SHARES, PAR VALUE US$0.000002 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • February 7th, 2023 • Global Mofy Metaverse LTD • Services-computer programming, data processing, etc. • New York
Global Mofy Metaverse Limited, an exempted company incorporated in the Cayman Islands. (the “Company”), proposes to sell to the underwriters named in Schedule I (the “Underwriters”) to this agreement (the “Agreement”) for which Maxim Group LLC is acting as representative (in such capacity, the “Representative”) an aggregate of [●] ordinary shares, par value $0.000002 per share (“Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company proposes to grant to the Underwriters an option to purchase up to an aggregate of (i) [●] additional Ordinary Shares (the “Option Shares” and collectively with the Firm Shares, the “Securities”) The offering and sale of the Securities contemplated by this Agreement is referred to herein as the “Offering”.
ORDINARY SHARES, NOMINAL VALUE NIS 0.01 PER SHARE UNDERWRITING AGREEMENTUnderwriting Agreement • September 30th, 2022 • Gamida Cell Ltd. • Biological products, (no disgnostic substances) • New York
Gamida Cell Ltd., a limited liability company organized under the laws of the State of Israel (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell an aggregate of 12,905,000 shares (the “Firm Shares”) of the Company’s ordinary shares with a nominal value of New Israeli Shekel (“NIS”) 0.01 per share (the “Ordinary Shares”), to the several underwriters (collectively, the “Underwriters”) named in Schedule I to this agreement (this “Agreement”), for whom Piper Sandler & Co. is acting as a representative (the “Representative”). The Company has also agreed to grant to the Underwriters an option (the “Option”) to purchase up to an additional 1,935,750 ordinary shares of the Company (the “Option Shares”) on the terms set forth in Section 1(b) hereof. The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares.”
PERFORMANCE SHIPPING INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 2nd, 2022 • Performance Shipping Inc. • Deep sea foreign transportation of freight • New York
The undersigned, Performance Shipping Inc., a corporation incorporated under the laws of the Republic of the Marshall Islands ( the “Company”) hereby confirms its agreement to issue and sell to and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”) an aggregate of units, (the “Units”), each unit consisting of one common share, $0.01 par value per share of the Company (“Common Shares” and the Common Shares sold as part of the Units, the “Firm Shares”) or one pre-funded warrant to purchase one Common Share at an exercise price of $0.01 per Common Share (the pre-funded warrants sold as part of the Units (the “Firm Pre-Funded Warrants”) together with one Class A Warrant to purchase one Common Share at an exercise price of $ per share (the Class A Warrants sold as part of the Units, the “Firm Purcha
16,000,000 Shares QUICKLOGIC CORPORATION Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 21st, 2019 • QUICKLOGIC Corp • Semiconductors & related devices • New York
QuickLogic Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 16,000,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 2,400,000 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively called the “Shares.”
ORDINARY SHARES AND [_____] WARRANTS BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 6th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
BORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”), and, at the election of the Underwriters, up to additional [______] shares (the “Optional Shares”) and (ii) an aggregate of [______] warrants to purchase Ordinary Shares (the “Firm Warrants”) and, at the election of the Underwriters, up to [_____] additional warrants (the “Optional Warrants” and collectively with the Firm Warrants, the “Warrants”). The Firm Shares and the Firm Warrants may be collectively referred to herein as the “Firm Securities”. The Optional Shares and the Optional Warrants ma
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 24th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
BORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 28th, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
BORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
ORDINARY SHARES BORQS TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 2nd, 2018 • Borqs Technologies, Inc. • Services-computer integrated systems design • New York
BORQS Technologies, Inc., a British Virgin Islands corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [____] ordinary shares, no par value (the “Ordinary Shares”) of the Company (the “Firm Shares”). In addition, the Company and certain stockholders of the Company (the “Selling Stockholders”) named in Schedule D hereto severally propose to sell an aggregate of [__________] shares (the “Selling Stockholder Firm Shares” and collectively with the Company Firm Shares, the “Firm Shares”). Each Selling Stockholder has agreed to sell the number of Firm Shares set forth opposite such Selling Stockholder’s name in Schedule D hereto and, if and to the extent that the Representative shall have determined
Shares of Common Stock and [__________] Warrants to Purchase Shares of Common Stock BLUE SPHERE CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 17th, 2017 • Blue Sphere Corp. • Services-computer programming, data processing, etc. • New York
Blue Sphere Corporation, a Nevada corporation (the “Company”), hereby confirms its agreement, subject to the terms and conditions contained in this underwriting agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of [__________] shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), [__________] pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share, and [__________] warrants (the “Warrants” and, together with the Shares and the Pre-Funded Warrants, the “Securities”) with the right to purchase one share of Common Stock at an exercise price of $3.30 per share. The respective numbers of Securities to be purchased by each of the several Underwriters ar
Shares of Common Stock and [__________] Warrants to Purchase Shares of Common Stock BLUE SPHERE CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • July 24th, 2017 • Blue Sphere Corp. • Services-computer programming, data processing, etc.
Blue Sphere Corporation, a Nevada corporation (the “Company”), hereby confirms its agreement, subject to the terms and conditions contained in this underwriting agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of [__________] shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), [__________] pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share, and [__________] warrants (the “Warrants” and, together with the Shares and the Pre-Funded Warrants, the “Securities”) with the right to purchase one share of Common Stock at an exercise price of $3.30 per share. The respective numbers of Securities to be purchased by each of the several Underwriters ar
Shares of Common Stock and [__________] Warrants to Purchase Shares of Common Stock BLUE SPHERE CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • May 30th, 2017 • Blue Sphere Corp. • Services-computer programming, data processing, etc.
Blue Sphere Corporation, a Nevada corporation (the “Company”), hereby confirms its agreement, subject to the terms and conditions contained in this underwriting agreement (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of [__________] shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), [__________] pre-funded warrants (the “Pre-Funded Warrants”) with the right to purchase one share of Common Stock at an exercise price of $0.01 per share, and [__________] warrants (the “Warrants” and, together with the Shares and the Pre-Funded Warrants, the “Securities”) with the right to purchase one share of Common Stock at an exercise price of $[___] per share. The respective numbers of Securities to be purchased by each of the several Underwriters a
ACCELERATED PHARMA, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • April 26th, 2017 • Accelerated Pharma, Inc. • Pharmaceutical preparations • New York
Accelerated Pharma, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • October 11th, 2016 • Accelerated Pharma, Inc. • Pharmaceutical preparations • New York
The undersigned, Accelerated Pharma, Inc., a Delaware corporation (the "Company"), hereby confirms its agreement (this "Agreement"), subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the "Underwriters"), for whom Rodman & Renshaw, a unit of H.C. Wainwright & Co., LLC is acting as Representatives (in such capacity, the "Representatives") to issue and sell to the Underwriters an aggregate of [●] shares ("Shares") of common stock, par value $0.0001 per share, of the Company ("Common Stock"). The offering and sale of securities contemplated by this Agreement is referred to herein as the "Offering." It is further understood that the Representatives will act as Representatives for the Underwriters in the offering and sale of the Shares in accordance with an Agreement Among Underwriters entered into by Representatives and the several other Underwriters.
PSIVIDA CORP. 4,000,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • January 8th, 2016 • pSivida Corp. • Laboratory analytical instruments • New York
pSivida Corp., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), (i) 4,000,000 shares (the “ Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”) and (ii) the grant by the Company to the Underwriters of the option described in Section 1 hereto to purchase, severally and not jointly, all or any part of 440,000 shares of Common Stock (the “Option Shares,” and together with the Firm Shares, the “Shares”) . The respective amounts of the Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto.
SYSOREX GLOBAL HOLDINGS CORP. 5,250,000 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • September 25th, 2015 • Sysorex Global Holdings Corp. • Services-computer programming services • California
EFACTOR GROUP CORP. UNDERWRITING AGREEMENTUnderwriting Agreement • September 4th, 2015 • Efactor Group Corp. • Services-business services, nec • New York
EFactor Group Corp., a Nevada corporation (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of _______ shares (the “Shares”) of common stock, par value $0.001 per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of _______ shares of Common Stock at an exercise price equal to $____ per share (each, a “Warrant” and, collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one additional share of Common Stock.
] UNITS RMR INDUSTRIALS INC. UNDERWRITING AGREEMENTUnderwriting Agreement • August 20th, 2015 • RMR Industrials, Inc. • Services-miscellaneous business services • New York
Perseon Corporation UNDERWRITING AGREEMENTUnderwriting Agreement • July 27th, 2015 • Perseon Corp • Electromedical & electrotherapeutic apparatus • New York
The undersigned, Perseon Corporation, a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, $0.001 par value per share (“Common Stock”) and warrants for the right to purchase [·] shares of Common Stock (the “Firm Warrants,” and collectively with the Firm Shares, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”) and/or warrants to purchase up to an additional [·] shares of Common Stock (the “Option Warrants,” and collectively with the Firm Warrants, the “Warrants”) for the purpo
Perseon Corporation UNDERWRITING AGREEMENTUnderwriting Agreement • July 17th, 2015 • Perseon Corp • Electromedical & electrotherapeutic apparatus • New York
The undersigned, Perseon Corporation, a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, $0.001 par value per share (“Common Stock”) and warrants for the right to purchase [·] shares of Common Stock (the “Firm Warrants,” and collectively with the Firm Shares, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”) and warrants to purchase up to an additional [·] shares of Common Stock (the “Option Warrants,” and collectively with the Firm Warrants, the “Warrants”) for the purpose
1,480,000 Shares Dipexium Pharmaceuticals, Inc. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • June 25th, 2015 • Dipexium Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Dipexium Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom you are acting as Representative (the “Representative”), an aggregate of 1,480,000 shares (the “Firm Shares”) of the Company’s common stock, $0.001 par value per share (the “Common Stock”). The respective amounts of the Firm Shares to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 222,000 shares (the “Option Shares”) of Common Stock from the Company for the purpose of covering over-allotments in connection with the sale of the Firm Shares. The Firm Shares and the Option Shares are collectively referred to herein as the “Shares.”
NeuroMetrix, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • May 4th, 2015 • NeuroMetrix, Inc. • Surgical & medical instruments & apparatus • New York
The undersigned, NeuroMetrix, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] units (the “Units”) of the Company’s securities. Each Unit consists of one share of the Company’s Series B convertible preferred stock, par value $0.001 per share ( “Preferred Stock”) and [·] warrants (each, a “Warrant”) with each Warrant representing the right to purchase [·] share[s] of the Company’s common stock, par value $0.0001 per share (“Common Stock”). The Preferred Stock shall have the rights, powers and preferences set forth in the certificate of designations to be dated [·], 2015 relating thereto (the “Certificate of Designations”). The shares of Common Stock issuable upon the
NeuroMetrix, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • April 13th, 2015 • NeuroMetrix, Inc. • Surgical & medical instruments & apparatus • New York
The undersigned, NeuroMetrix, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) to issue and sell to the underwriter or underwriters, as the case may be, named in Schedule I hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), an aggregate of [·] shares (the “Firm Shares”) of the Company’s Common Stock, par value $0.0001 ( “Common Stock”), warrants for the right to purchase [·] shares of Common Stock (the “Warrants”) and pre-funded warrants for the right to purchase [·] shares of Common Stock (the “Pre-Funded Warrants,” and collectively with the Firm Shares and the Warrants, the “Firm Securities”). In addition, the Company proposes to grant to the Underwriters an option to purchase from the Company up to an additional [·] shares of Common Stock (the “Option Shares”), up to an additional [·] Warrants (the “Option Warrants”) and up
2,800,000 Shares of Common Stock and 2,800,000 Warrants to Purchase Shares of Common Stock APPLIED DNA SCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • December 15th, 2014 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of 2,800,000 shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), and 2,800,000 warrants (the “Warrants”) with the right to purchase one share of Common Stock (together, “Securities”). The respective numbers of Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional 420,000 shares of Common Stock (the “Option Shares”) and/or up to an additional 420,000 Warrants (the “Option Warrants”) from the Company for the
Shares of Common Stock and ______ Warrants to Purchase Shares of Common Stock APPLIED DNA SCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • November 12th, 2014 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of _______ shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), and ______ warrants (the “Warrants”) with the right to purchase one share of Common Stock (together, “Securities”). The respective numbers of Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional _______ shares of Common Stock (the “Option Shares”) and up to an additional _______ Warrants (the “Option Warrants”) from the Company for the purpose
Shares of Common Stock and ______ Warrants to Purchase Shares of Common Stock APPLIED DNA SCIENCES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 30th, 2014 • Applied Dna Sciences Inc • Services-miscellaneous business services • New York
Applied DNA Sciences, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions contained herein, (this “Agreement”), to sell to you and the other underwriters named on Schedule I to this Agreement (the “Underwriters”), for whom Maxim Group LLC (“Maxim”) is acting as Representative (the “Representative,” “you” or similar terminology), an aggregate of _______ shares of the Company’s common stock, $0.001 par value per share (the “Common Stock”), and ______ warrants (the “Warrants”) with the right to purchase one share of Common Stock (together, “Securities”). The respective numbers of Securities to be purchased by each of the several Underwriters are set forth opposite their names on Schedule I hereto. In addition, the Company proposes to grant to the Underwriters an option to purchase up to an additional _______ shares of Common Stock (the “Option Shares”) and up to an additional _______ Warrants (the “Option Warrants”) from the Company for the purpose
Common Stock JAGUAR ANIMAL HEALTH, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 28th, 2014 • Jaguar Animal Health, Inc. • Pharmaceutical preparations • New York
Jaguar Animal Health, Inc., a corporation organized and existing under the laws of Delaware (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule I hereto (the “Underwriters”) an aggregate of [·] shares (the “Firm Shares”) of its common stock, par value $0.0001 per share (the “Common Stock”). The Company also proposes to issue and sell to the several Underwriters up to an additional [·] shares (the “Additional Shares”) of Common Stock at the option of the Underwriters as provided in Section 2(c) below. The Firm Shares and any Additional Shares purchased by the Underwriters are referred to herein as the “Shares”. BMO Capital Markets Corp. and Guggenheim Securities, LLC are acting as representatives (the “Representatives”) of the several Underwriters in connection with the offering and sale of the Shares contemplated herein (the “Offering”).
WIDEPOINT CORPORATION 6,896,552 Shares of Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 23rd, 2014 • Widepoint Corp • Services-computer integrated systems design • California
Form of EMPIRE ENERGY HOLDINGS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 14th, 2014 • Imperial Resources, LLC • Crude petroleum & natural gas • New York
Empire Energy Holdings, Inc., a Delaware corporation (f/k/a Imperial Resources, LLC) (the “Company”), confirms its agreement, subject to the terms and conditions set forth herein, with each of the underwriters listed on Schedule A hereto (each, an “Underwriter” and, collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of [_______] shares (the “Shares”) of common stock, par value $0.01 per share, of the Company (the “Common Stock”), together with warrants to purchase an aggregate of _________ shares of Common Stock at an exercise price equal to $_____ per whole share (each, a “Warrant” and, collectively, the “Warrants”). Each Share shall be accompanied by a Warrant to purchase one-half additional share of Common Stock.
CONTRAFECT CORPORATION UNDERWRITING AGREEMENTUnderwriting Agreement • August 1st, 2014 • CONTRAFECT Corp • Pharmaceutical preparations • New York
The undersigned, ContraFect Corporation, a corporation incorporated under the laws of the State of Delaware (the “Company”), confirms its agreement, subject to the terms and conditions set forth in this Underwriting Agreement (this “Agreement”), with each of the underwriters listed on Schedule A hereto (each, an “Underwriter” and collectively, the “Underwriters”), for whom Maxim Group LLC is acting as representative (in such capacity, the “Representative”), to sell and issue to the Underwriters an aggregate of: 6,000,000 Firm Units (as defined below), with each Firm Unit (and each Option Unit, as defined below) consisting of: (i) one (1) share of common stock, par value $0.0001 per share, of the Company (“Common Stock”); (ii) one Class A warrant of the Company (each, a “Class A Warrant” and collectively, the “Class A Warrants”); and (iii) one Class B warrant (each, a “Class B Warrant” and collectively, the “Class B Warrants” which, collectively with the Class A Warrants are referred to
•] SHARES OF COMMON STOCK ENERGY FOCUS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 22nd, 2014 • Energy Focus, Inc/De • Electric lighting & wiring equipment • New York
5,000,000 SHARES OF COMMON STOCK 5,000,000 WARRANTS TO PURCHASE 7,500,000 SHARES OF COMMON STOCK ENERPULSE TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 16th, 2014 • Enerpulse Technologies, Inc. • Motor vehicle parts & accessories • New York