SEC Filing Document

Company: Synergy CHC Corp.
Ticker: SNYR
CIK: 1562733
Filing Type: S-1/A
Document Type: EX-1.1
Date Filed: 2024-08-28
Accession Number: 0001213900-24-073419
Exchange: Nasdaq
SIC Code: 2833
SIC Description: Medicinal Chemicals & Botanical Products
URL: https://www.sec.gov/Archives/edgar/data/1562733/000121390024073419/ea020832406ex1-1_synergy.htm

Chunk 6 of 15
Word Count: 1382
Character Count: 8288

Document Content:

may affect the Underwriters’ compensation, as determined by FINRA. (xxix) No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter. (xxx) Proceeds. None of the net proceeds of the offering will be paid by the Company to any participating FINRA member or any affiliate or associate of any participating FINRA member, except as specifically authorized herein.

(xxxi)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer
or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner
of any amount of the Company’s unregistered securities acquired within the 180-day period prior to the Filing Date, has any direct
or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters
if it becomes aware that any officer, director of the Company or its subsidiaries or any owner of 5% or more of any class of the Company’s
securities is or becomes an affiliate or associated person of a FINRA member participating in the offering.

(xxxii) No
Financial Advisor. Other than the Underwriters, no person has the right to act as an underwriter or as a financial advisor to the
Company in connection with the transactions contemplated hereby.

(xxxiii) Certain
Statements. The statements set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus,”
insofar as they purport to describe the provisions of the laws and documents referred to therein, are accurate, complete and fair, and
under the caption “Description of Capital Stock” insofar as they purport to constitute a summary of (i) the terms of the
Company’s outstanding securities, (ii) the terms of the Shares, and (iii) the terms of the documents referred to therein, are accurate,
complete and fair in all material respects.

(xxxiv)
Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final
Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including
any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit
plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants
or other outstanding convertible securities.

(b) Any
certificate signed by any officer of the Company and delivered to the Representative on behalf of the Underwriters or to counsel for
the Underwriters shall be deemed a representation and warranty by the Company to the Underwriters as to the matters covered thereby.

4. Purchase,
Sale and Delivery of Shares.

the basis of the representations, warranties and agreements herein contained, but subject to the terms and conditions herein set forth,
the Company agrees to issue and sell the Firm Shares, to the several Underwriters, and the several Underwriters agree, severally and
not jointly, to purchase the Firm Shares, set forth opposite the names of the Underwriters in Schedule I hereto. The
purchase price for each Firm Share shall be $[●] per share. The purchase price
to be paid by the Underwriters to the Company for each Firm Share shall be $[●] per share.

(b) The
Company hereby grants to the Underwriters the option to purchase some or all of the Option Shares and, upon the basis of the warranties
and representations and subject to the terms and conditions herein set forth, the Underwriters shall have the right, severally and not
jointly, to purchase at the purchase price set forth in Section 4(a) all or any portion of the Option Shares as may be necessary to cover
over-allotments made in connection with the transactions contemplated hereby. The purchase price to be paid by the Underwriters for the
Option Shares shall be $[●] per share. This option may be exercised by the Underwriters
at any time and from time to time on or before the thirtieth (30th) day following the date hereof, by written notice to the
Company (the “Option Notice”). The Option Notice shall set forth the aggregate number of Option Shares as to which
the option is being exercised, and the date and time when the Option Shares are to be delivered (such date and time being herein referred
to as the “Option Closing Date”); provided, however, that the Option Closing Date shall not be earlier
than the Closing Date (as defined below) nor earlier than the first business day after the date on which the option shall have been exercised
nor later than the fifth business day after the date on which the option shall have been exercised unless the Company and the Representative
otherwise agree. If the Underwriters elect to purchase less than all of the Option Shares, the Company agrees to sell to each Underwriter
the number of Option Shares obtained by multiplying the number of Option Shares specified in such notice by a fraction, the numerator
of which is the number of Option Shares, as applicable, set forth opposite the name of the Underwriter in Schedule I hereto under
the caption “Number of Option Shares to be Sold” and the denominator of which is the total number of Option Shares.

(c) Payment
of the purchase price for and delivery of the Option Shares shall be made on an Option Closing Date in the same manner and at the same
office as the payment for the Firm Shares, as applicable as set forth in subparagraph (d) below.

(d) The
Firm Shares will be delivered by the Company to the Representative, for the respective accounts of the several Underwriters, against
payment of the purchase price therefor by wire transfer of same day funds payable to the order of the Company at the offices of Roth
Capital Partners, LLC, 888 San Clemente Drive, Suite 400, Newport Beach, CA 92660, or such other location as may be mutually acceptable,
at 6:00 a.m. Pacific Time, on the third (or if the Firm Shares are priced, as contemplated by Rule 15c6-1(c) under the Exchange Act,
after 4:30 p.m. Eastern time, the fourth) full business day following the date hereof, or at such other time and date as the Representative
and the Company determine pursuant to Rule 15c6-1(a) under the Exchange Act, or, in the case of the Option Shares, at such date and time
set forth in the Option Notice. The time and date of delivery of the Firm Shares, is referred to herein as the “Closing Date.”
On the Closing Date, the Company shall deliver the Firm Shares, which shall be registered in the name or names and shall be in such denominations
as the Representative may request on behalf of the Underwriters at least one (1) business day before the Closing Date, to the respective
accounts of the several Underwriters, which delivery shall with respect to the Firm Shares, be made through the facilities of the Depository
Trust Company’s DWAC system.

is understood that the Representative has been authorized, for its own account and the accounts of the several Underwriters, to accept
delivery of and receipt for, and make payment of the purchase price for, the Firm Shares and any Option Shares the Underwriters have
agreed to purchase. The Representative, individually and not as the Representative of the Underwriters, may (but shall not be obligated
to) make payment for any Shares to be purchased by any Underwriter whose funds shall not have been received by the Representative by
the Closing Date or any Option Closing Date, as the case may be, for the account of such Underwriter, but any such payment shall not
relieve such Underwriter from any of its obligations under this Agreement.