LUXURBAN HOTELS INC. UNDERWRITING AGREEMENT 11,573,333 Shares of Common StockUnderwriting Agreement • July 29th, 2024 • Luxurban Hotels Inc. • Real estate • New York
LuxUrban Hotels Inc., a Delaware corporation (the “Company”‘), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters.” or each, an “Underwriter”), for whom Alexander Capital, L.P., is acting as the representative (the “Representative”). 11,573,333 authorized but unissued shares (the “Firm Shares”) of common stock of the Company, par value $0.00001 per share (the “Common Stock”).. In addition, the Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 1,736,000 authorized but unissued shares of Common Stock (the “Option Shares”).. The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”.
MASSIMO GROUP UNDERWRITING AGREEMENT 1,300,000 Shares of Common StockUnderwriting Agreement • April 4th, 2024 • Massimo Group • Miscellaneous transportation equipment • New York
Massimo Group, a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule I thereto (the “Underwriters”) 1,300,000 authorized but unissued shares (the “Firm Shares”) of common stock of the Company, $0.001 par value (the “Common Stock”). In addition, the Company proposes to sell to Craft Capital Management, LLC, as representative of the Underwriters (the “Representative”), upon the terms and conditions set forth in Section 5 hereof, up to an additional 195,000 unissued shares of Common Stock of the Company (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”. The Shares, the Representative Warrants (as defined below) and the Representative Warrant Shares (as defined below) are collectively referred to as the “Securities.”
MASSIMO GROUP UNDERWRITING AGREEMENT [●] Shares of Common StockUnderwriting Agreement • March 1st, 2024 • Massimo Group • Miscellaneous transportation equipment • New York
Massimo Group, a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule I thereto (the “Underwriters”) [●] authorized but unissued shares (the “Firm Shares”) of common stock of the Company, $0.001 par value (the “Common Stock”). In addition, the Company proposes to sell to Craft Capital Management, LLC, as representative of the Underwriters (the “Representative”), upon the terms and conditions set forth in Section 5 hereof, up to an additional [●] unissued shares of Common Stock of the Company (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”. The Shares, the Representative Warrants (as defined below) and the Representative Warrant Shares (as defined below) are collectively referred to as the “Securities.”
ASP Isotopes Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • November 16th, 2022 • ASP Isotopes Inc. • Miscellaneous chemical products • New York
ASP Isotopes Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Revere Securities LLC (“Revere Securities”) is acting as the Representative (the “Representative”), an aggregate of 1,250,000 shares of common stock, par value $0.01 per share (the “Common Stock”) of the Company (the “Firm Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, in the aggregate, up to 187,500 additional shares of Common Stock representing 15% of the Firm Shares sold in the offering from the Company (the “Option Shares” and together with the Firm Shares, the “Shares”).
ASP Isotopes Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • October 11th, 2022 • ASP Isotopes Inc. • Miscellaneous chemical products • New York
ASP Isotopes Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Revere Securities LLC (“Revere Securities”) is acting as the Representative (the “Representative”), an aggregate of [•] shares of common stock, par value $0.01 per share (the “Common Stock”) of the Company (the “Firm Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, in the aggregate, up to [●] additional shares of Common Stock representing 15% of the Firm Shares sold in the offering from the Company (the “Option Shares” and together with the Firm Shares, the “Shares”).
SHARPS COMPLIANCE CORP. UNDERWRITING AGREEMENT 1,800,000 SharesUnderwriting Agreement • August 26th, 2021 • Sharps Compliance Corp • Hazardous waste management • New York
Sharps Compliance Corp., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Roth Capital Partners, LLC is acting as the representative (the “Representative”), an aggregate of 1,800,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.01 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 270,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”. The Shares are also referred to as the “Securities.”
UNDERWRITING AGREEMENTUnderwriting Agreement • February 1st, 2021 • PowerFleet, Inc. • Communications equipment, nec • New York
PowerFleet, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell (the “Offering”) to the several underwriters (the “Underwriters”) named in Schedule I hereto, for whom Canaccord Genuity LLC is acting as representative (the “Representative”), an aggregate of 3,850,000 shares (the “Underwritten Shares”) of the Company’s common stock, par value $0.01 (the “Common Stock”). The Company has also granted the Underwriters the option to purchase an aggregate of up to 577,500 additional shares of Common Stock (the “Additional Shares”) in the Offering. To the extent there are no additional Underwriters listed on Schedule I other than you, the term Representative as used herein shall mean you, as Underwriter, and the term Underwriters shall mean the singular as the context requires.
REED’S, INC. UNDERWRITING AGREEMENT 18,750,000 Shares of Common StockUnderwriting Agreement • November 23rd, 2020 • Reed's, Inc. • Bottled & canned soft drinks & carbonated waters • New York
Reed’s, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Roth Capital Partners, LLC is acting as the representative (the “Representative”), an aggregate of 18,750,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 2,812,500 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”.
AVINGER, INC. UNDERWRITING AGREEMENT 20,000,000 Shares of Common StockUnderwriting Agreement • June 25th, 2020 • Avinger Inc • Surgical & medical instruments & apparatus • New York
AVINGER, INC., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Aegis Capital Corp. is acting as representative (the “Representative”), an aggregate of 20,000,000 authorized but unissued shares of common stock, par value $0.001 per share, (the “Common Stock”) of the Company (the “Firm Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 3,000,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares” or the “Securities”.
AVINGER, INC. UNDERWRITING AGREEMENT _____________ Shares of Common StockUnderwriting Agreement • June 22nd, 2020 • Avinger Inc • Surgical & medical instruments & apparatus • New York
AVINGER, INC., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Aegis Capital Corp. is acting as representative (the “Representative”), an aggregate of _____________ authorized but unissued shares of common stock, par value $0.001 per share, (the “Common Stock”) of the Company (the “Firm Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional _____________ shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares” or the “Securities”.
DOCUMENT SECURITY SYSTEMS, INC. UNDERWRITING AGREEMENT [●] Shares of Common StockUnderwriting Agreement • June 9th, 2020 • Document Security Systems Inc • Paperboard containers & boxes • New York
DOCUMENT SECURITY SYSTEMS, INC., a New York corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Aegis Capital Corp. is acting as representative (the “Representative”), an aggregate of [●] authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.02 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional [●] shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares” or the “Securities.” The offering and sale of the Shares is hereinafter referred to as the “Offering.”
HOTH THERAPEUTICS, INC. UNDERWRITING AGREEMENT 1,818,182 Shares of Common StockUnderwriting Agreement • May 22nd, 2020 • Hoth Therapeutics, Inc. • Pharmaceutical preparations • New York
Hoth Therapeutics, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom The Benchmark Company, LLC is acting as the representative (the “Representative”), an aggregate of 1,818,182 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.0001 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 272,727 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares.” The Shares, the Underwriter Warrants (as defined below) and the Underwriter Warrant Shares (as defined below) are collectively referred to as the “Securities.”
AVINGER, INC. UNDERWRITING AGREEMENT 12,600,000 Shares of Common StockUnderwriting Agreement • April 29th, 2020 • Avinger Inc • Surgical & medical instruments & apparatus • New York
AVINGER, INC., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Aegis Capital Corp. is acting as representative (the “Representative”), an aggregate of 12,600,000 authorized but unissued shares of common stock, par value $0.001 per share, (the “Common Stock”) of the Company (the “Firm Shares”). The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 1,890,000 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares” or the “Securities”.
ATOMERA INCORPORATED UNDERWRITING AGREEMENT 2,625,000 Shares of Common StockUnderwriting Agreement • October 11th, 2018 • Atomera Inc • Semiconductors & related devices • New York
Atomera Incorporated, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Roth Capital Partners, LLC is acting as the representative (the “Representative”), (i) an aggregate of 2,625,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional (i) 393,750 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”.
3,000,000 Shares of Common Stock and Warrants to Purchase 2,250,000 Shares of Common Stock NEURALSTEM, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 28th, 2017 • Neuralstem, Inc. • Biological products, (no disgnostic substances) • New York
Neuralstem, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to Canaccord Genuity Inc., as representative (the “Representative”) of the several underwriters named in Schedule I hereto (each, an “Underwriter” and collectively, the “Underwriters”) (i) an aggregate of 3,000,000 authorized but unissued shares (the “Shares”) of common stock, par value $0.01 per share (the “Common Stock”), of the Company and (ii) warrants (the “Warrants”) to purchase up to 2,250,000 shares of Common Stock of the Company (the “Warrant Shares”). The Shares, the Warrants and the Warrant Shares are collectively referred to as the “Securities.” The Shares and the Warrants shall be sold together as a fixed combination, each consisting of one share of Common Stock and a Warrant to purchase 0.75 of a share of Common Stock. The Shares and the Warrants shall be immediately separable and transferable upon issuance. The terms of the Warrants are
OCEAN POWER TECHNOLOGIES, INC. UNDERWRITING AGREEMENT 5,385,000 Shares of Common StockUnderwriting Agreement • April 27th, 2017 • Ocean Power Technologies, Inc. • Electric services • New York
Ocean Power Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named in Schedule I hereto (the “Underwriters,” or each, an “Underwriter”), for whom Aegis Capital Corp. is acting as representative (the “Representative”), an aggregate of 5,385,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes to sell to the Underwriters, upon the terms and conditions set forth in Section 4 hereof, up to an additional 807,750 shares of Common Stock (the “Option Shares”). The Firm Shares and the Option Shares are hereinafter collectively referred to as the “Shares”.
10,000,000 Shares QuickLogic Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • March 22nd, 2016 • Quicklogic Corporation • Semiconductors & related devices • California
QuickLogic Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named on Schedule I hereto (the “Underwriters,” or each, an “Underwriter”) an aggregate of 10,000,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters an aggregate of up to 1,500,000 shares of Common Stock (the “Additional Shares”), if and to the extent that the Underwriters shall have determined to exercise the right to purchase Additional Shares granted to the Underwriters in Section 4(b) hereof. The Firm Shares and Additional Shares are collectively referred to as the “Shares”. The Shares shall be immediately separable and transferable upon issuance. Roth Capital Partners, LLC (“Roth”) is acting as representative of th
7,600,000 Shares QuickLogic Corporation Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • November 15th, 2013 • Quicklogic Corporation • Semiconductors & related devices • California
QuickLogic Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named on Schedule I hereto (the “Underwriters,” or each, an “Underwriter”) an aggregate of 7,600,000 authorized but unissued shares (the “Firm Shares”) of common stock, par value $0.001 per share (the “Common Stock”), of the Company. The Company also proposes, subject to the terms and conditions stated herein, to issue and sell to the Underwriters an aggregate of up to 1,140,000 shares of Common Stock (the “Additional Shares”), if and to the extent that the Underwriters shall have determined to exercise the right to purchase Additional Shares granted to the Underwriters in Section 4(b) hereof. The Firm Shares and Additional Shares are collectively referred to as the “Shares”. The Shares shall be immediately separable and transferable upon issuance. Roth Capital Partners, LLC (“Roth”) is acting as representative of the