Brokers and Finders. Neither the Investor nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the transactions contemplated by this Agreement.
Appears in 12 contracts
Sources: Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc), Secondary Sale Purchaser Agreement (Anchor Bancorp Wisconsin Inc), Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc)
Brokers and Finders. Neither the Investor Investor, nor its Affiliates nor any of its their respective officersofficers or directors, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 12 contracts
Sources: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby.
Appears in 11 contracts
Sources: Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates or any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 10 contracts
Sources: Investment Agreement (Columbus McKinnon Corp), Investment Agreement (Resideo Technologies, Inc.), Preferred Stock Purchase Agreement (Strategic Storage Trust VI, Inc.)
Brokers and Finders. Neither the Investor such Purchaser, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Purchaser in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 9 contracts
Sources: Stock Purchase Agreement (Southern States Bancshares, Inc.), Securities Purchase Agreement (Hampton Roads Bankshares Inc), Securities Purchase Agreement (Hampton Roads Bankshares Inc)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officersofficers or directors, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Common Stock directly from the Company and not from the Placement Agent.
Appears in 9 contracts
Sources: Investor Rights Agreement (Broadway Financial Corp \De\), Investor Rights Agreement (Broadway Financial Corp \De\), Subscription Agreement (Broadway Financial Corp \De\)
Brokers and Finders. Neither Except as Previously Disclosed, neither the Investor Company nor any of its respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company in connection with this Agreement or the transactions contemplated hereby, the fees of which would be payable by this Agreementthe Investor.
Appears in 9 contracts
Sources: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)
Brokers and Finders. Neither the Investor nor any of its respective officers, directors Subsidiaries or employees Affiliates has employed any broker investment banker, broker, finder, consultant or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor intermediary in connection with this Agreement or the transactions contemplated Transaction that would be entitled to any investment banking, brokerage, finder's or similar fee or commission in any way relating thereto or in connection therewith, other than those (if any) that shall be the sole responsibility of and shall be paid in full by this Agreementthe Investor or its Subsidiaries.
Appears in 8 contracts
Sources: Securities Purchase Agreement (Hearst Communications Inc), Securities Purchase Agreement (Hearst Communications Inc), Securities Purchase Agreement (Hearst Communications Inc)
Brokers and Finders. Neither the Investor such Anchor Investor, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the such Anchor Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 7 contracts
Sources: Investment Agreement (DBD Cayman, Ltd.), Investment Agreement (Anchorage Advisors, LLC), Investment Agreement (Hampton Roads Bankshares Inc)
Brokers and Finders. Neither Except for the Investor Placement Agent, neither the Company nor the Bank nor any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company or the Bank, in connection with the transactions contemplated by this Agreementhereby.
Appears in 7 contracts
Sources: Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 6 contracts
Sources: Investment Agreement (T-Viii Pubopps Lp), Investment Agreement (TriState Capital Holdings, Inc.), Investment Agreement (DBD Cayman, Ltd.)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 5 contracts
Sources: Investment Agreement (FNB United Corp.), Investment Agreement (FNB United Corp.), Investment Agreement (Central Pacific Financial Corp)
Brokers and Finders. Neither the Investor Buyer nor its Subsidiaries nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 5 contracts
Sources: Merger Agreement (Carolina Financial Corp), Merger Agreement (Congaree Bancshares Inc), Merger Agreement (State Bank Financial Corp)
Brokers and Finders. Neither the Investor Buyer nor any of its respective officers, directors or employees has employed any investment banker, broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions commissions, finders' fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor similar compensation in connection with the transactions contemplated by this Agreement.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Us Industries Inc /De), Securities Purchase Agreement (Us Industries Inc /De), Subscription Agreement (Us Industries Inc /De)
Brokers and Finders. Neither the Investor nor any of its Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 4 contracts
Sources: Warrant Acquisition Agreement (FreightCar America, Inc.), Warrant Acquisition Agreement (Pacific Investment Management Co LLC), Warrant Acquisition Agreement (FreightCar America, Inc.)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.
Appears in 4 contracts
Sources: Securities Purchase Agreement (MBT Financial Corp), Securities Purchase Agreement (MBT Financial Corp), Securities Purchase Agreement (Eastern Virginia Bankshares Inc)
Brokers and Finders. Neither the Investor nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay.
Appears in 4 contracts
Sources: Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)
Brokers and Finders. Neither the Investor nor any of its Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 4 contracts
Sources: Securities Purchase Agreement (SWK Holdings Corp), Securities Purchase Agreement (Carlson Capital L P), Securities Purchase Agreement (SWK Holdings Corp)
Brokers and Finders. Neither the Investor Buyer nor any of its respective officers, directors directors, or employees has have employed any broker broker, finder, or finder investment banker or incurred any liability Liability for any financial advisory feescommission, brokerage feesbrokerage, commissions or investment-banking fee, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fee in connection with the transactions contemplated by this Agreement.
Appears in 4 contracts
Sources: Purchase Agreement (ARC Group Worldwide, Inc.), Purchase Agreement (ARC Group Worldwide, Inc.), Purchase Agreement
Brokers and Finders. Neither the The Investor nor any of its respective officers, directors or employees has not employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the transactions contemplated by this Agreement.
Appears in 4 contracts
Sources: Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc), Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc), Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc)
Brokers and Finders. Neither the Investor Except for ▇▇▇▇▇▇▇▇ Inc., neither ▇▇▇▇▇▇▇ nor any of its respective officers, directors directors, employees, or employees Affiliates has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 4 contracts
Sources: Agreement and Plan of Merger (Simmons First National Corp), Merger Agreement (Southwest Bancorp Inc), Merger Agreement (Southwest Bancorp Inc)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Suffolk Bancorp), Investment Agreement (Intervest Bancshares Corp), Stock Purchase Agreement (Antares Pharma Inc)
Brokers and Finders. Neither the Investor Investors nor their Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor any Investor, in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby.
Appears in 3 contracts
Sources: Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay.
Appears in 3 contracts
Sources: Investment Agreement (Seacoast Banking Corp of Florida), Investment Agreement (Seacoast Banking Corp of Florida), Investment Agreement (CapGen Capital Group III LP)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay (other than pursuant to the reimbursement of expenses provisions of Section 6.2).
Appears in 3 contracts
Sources: Investment Agreement (Flagstar Bancorp Inc), Investment Agreement (Flagstar Bancorp Inc), Investment Agreement (National City Corp)
Brokers and Finders. Neither the Investor nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Purchased Shares directly from the Company and not from the Placement Agent.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Highlands Bankshares Inc /Va/), Securities Purchase Agreement (Highlands Bankshares Inc /Va/), Securities Purchase Agreement (Highlands Bankshares Inc /Va/)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay.
Appears in 3 contracts
Sources: Securities Purchase Agreement (Brown Bernard A), Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Common Shares directly from the Company and not from any Placement Agent.
Appears in 3 contracts
Sources: Subscription Agreement, Subscription Agreement (FNB United Corp.), Subscription Agreement (FNB United Corp.)
Brokers and Finders. Neither Except for the Investor Buyer Financial Advisor, neither Buyer nor its Subsidiaries, nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker or finder finder, or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Merger Agreement (Entegra Financial Corp.), Merger Agreement (ASB Bancorp Inc), Merger Agreement (First Bancorp /Nc/)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby.
Appears in 3 contracts
Sources: Purchase Agreement (Jarden Corp), Investment Agreement (Dime Bancorp Inc), Investment Agreement (Warburg Pincus Equity Partners Lp)
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.
Appears in 3 contracts
Sources: Securities Purchase Agreement (United Community Financial Corp), Securities Purchase Agreement (Intermountain Community Bancorp), Securities Purchase Agreement (Intermountain Community Bancorp)
Brokers and Finders. Neither the Investor nor any of its Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the such Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Standby Purchase Agreement (Trade Street Residential, Inc.), Standby Purchase Agreement (Trade Street Residential, Inc.), Standby Purchase Agreement (Trade Street Residential, Inc.)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company, the Bank or any Subsidiary would be required to pay (other than pursuant to the reimbursement of expenses provisions of Section 6.2).
Appears in 3 contracts
Sources: Investment Agreement (North American Financial Holdings, Inc.), Investment Agreement (Green Bankshares, Inc.), Investment Agreement (Pacific Capital Bancorp /Ca/)
Brokers and Finders. Neither the Investor such Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Purchaser, in connection with this Agreement or the transactions contemplated by this Agreement, in each case, whose fees the Company would be required to pay.
Appears in 3 contracts
Sources: Subordinated Note Purchase Agreement (Southern National Bancorp of Virginia Inc), Note Purchase Agreement (Avenue Financial Holdings, Inc.), Note Purchase Agreement (Fidelity Southern Corp)
Brokers and Finders. Neither the Investor Except for ▇▇▇▇▇, ▇▇▇▇▇▇▇▇ & ▇▇▇▇▇, Inc., neither Buyer nor any of its respective officers, directors directors, employees, or employees Affiliates has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Merger Agreement (Spirit of Texas Bancshares, Inc.), Merger Agreement (Simmons First National Corp), Merger Agreement (Spirit of Texas Bancshares, Inc.)
Brokers and Finders. Neither the Investor Except for ▇▇▇▇▇▇▇▇, Inc., neither Seller nor any of its respective officers, directors directors, employees, or employees Affiliates has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Merger Agreement (Spirit of Texas Bancshares, Inc.), Merger Agreement (Simmons First National Corp), Merger Agreement (Spirit of Texas Bancshares, Inc.)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officersofficers or directors, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 3 contracts
Sources: Stock Purchase Agreement (Professional Holding Corp.), Stock Purchase Agreement (Professional Holding Corp.), Stock Purchase Agreement (Broadway Financial Corp \De\)
Brokers and Finders. Neither the Investor such Purchaser nor any of its Affiliates or any of their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or commissions, finder’s feesfees or similar payments, and no broker or finder has acted directly or indirectly for the Investor such Purchaser, in connection with this Agreement or the transactions contemplated by this AgreementPurchase.
Appears in 3 contracts
Sources: Preferred Stock Purchase Agreement (Lexicon Pharmaceuticals, Inc.), Preferred Stock Purchase Agreement, Securities Purchase Agreement (Earthstone Energy Inc)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this AgreementContemplated Transactions, in each case, whose fees the Company would be required to pay (other than the reimbursement of transaction expenses as provided in Section 6.2).
Appears in 3 contracts
Sources: Subordinated Note Purchase Agreement (First Western Financial Inc), Subordinated Note Purchase Agreement (Business First Bancshares, Inc.), Subordinated Note Purchase Agreement (First Savings Financial Group Inc)
Brokers and Finders. Neither the Investor Except for Buyer Financial Advisor, neither Buyer nor its Subsidiaries nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (First Community Corp /Sc/), Merger Agreement (First Community Corp /Sc/)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates, nor any of its their respective officersofficers or directors, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Stock Purchase Agreement (Atlantic Capital Bancshares, Inc.), Stock Purchase Agreement (First Security Group Inc/Tn)
Brokers and Finders. Neither the Investor nor its Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Investment Agreement, Investment Agreement (Empire Resorts Inc)
Brokers and Finders. Neither the Investor Seller, nor any of its respective officers, directors directors, employees or employees managers, has employed any broker broker, finder, advisor or finder consultant, or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders' fees, and no broker advisory fees or finder has acted directly or indirectly for the Investor consulting fees in connection with the transactions contemplated by this Agreementhereby for which Seller has or could have any liability.
Appears in 2 contracts
Sources: Asset Purchase Agreement, Asset Purchase Agreement (Lenco Mobile Inc.)
Brokers and Finders. Neither Except for Buyer Financial Advisor, neither the Investor Buyer nor its Subsidiaries, or any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker broker, finder, or finder investment banker or incurred any liability Liability for any financial advisory fees, investment bankers fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other such fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (American Community Bancshares Inc), Merger Agreement (Yadkin Valley Financial Corp)
Brokers and Finders. Neither the Investor Buyer, nor any of its respective officers, directors directors, employees or employees managers, has employed any broker broker, finder, advisor or finder consultant, or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders' fees, and no broker advisory fees or finder has acted directly or indirectly for the Investor consulting fees in connection with the transactions contemplated by this Agreementhereby for which Buyer has or could have any liability.
Appears in 2 contracts
Sources: Asset Purchase Agreement, Asset Purchase Agreement (Lenco Mobile Inc.)
Brokers and Finders. Neither the Investor Buyer nor any of its respective officers, ------------------- directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (Unified Financial Services Inc), Merger Agreement (Unified Financial Services Inc)
Brokers and Finders. Neither the Investor nor any of its respective officers, directors or employees (acting in their respective capacity as such) has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Note Purchase Agreement (GDS Holdings LTD), Share Subscription Agreement (GDS Holdings LTD)
Brokers and Finders. Neither Except for any fees payable by Investor to Investor’s Investment Manager, neither the Investor nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the transactions contemplated by this Agreement.
Appears in 2 contracts
Sources: Stock Purchase Agreement (FJ Capital Management LLC), Stock Purchase Agreement (Centrue Financial Corp)
Brokers and Finders. Neither the such Initial Investor nor its Affiliates or any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Initial Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Lonestar Resources US Inc.), Securities Purchase Agreement (Lonestar Resources US Inc.)
Brokers and Finders. Neither the such Investor nor any of its respective officers, directors or employees (acting in their respective capacity as such) has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Note Purchase Agreement (GDS Holdings LTD), Note Purchase Agreement (GDS Holdings LTD)
Brokers and Finders. Neither the Investor Seller nor any of its Subsidiaries, nor any of their respective directors or officers, directors or employees as applicable, has employed any investment banker, broker or finder or incurred or will incur any liability for any financial advisory brokerage payments, investment banking fees, brokerage feescommissions, commissions finders’ fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other similar payments in connection with the transactions contemplated by this AgreementTransactions.
Appears in 2 contracts
Sources: Membership Interest Purchase Agreement (Biohaven Research Ltd.), Membership Interest Purchase Agreement (Biohaven Pharmaceutical Holding Co Ltd.)
Brokers and Finders. Neither the Investor Except for Buyer's financial advisor, neither Buyer nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker or finder or incurred insured any liability Liability for any financial advisory fees, investment bankers' fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor 's fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (El Banco Financial Corp), Merger Agreement (Nbog Bancorporation Inc)
Brokers and Finders. Neither the Investor or its Affiliates, nor any of its their respective officers, directors or employees employees, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Financial Advisor.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Mackinac Financial Corp /Mi/), Securities Purchase Agreement (Mackinac Financial Corp /Mi/)
Brokers and Finders. Neither the Investor Purchaser nor any of its respective officers, directors Affiliates or employees has Representatives have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Bold Energy Holdings, LLC), Securities Purchase Agreement (Bold Energy Holdings, LLC)
Brokers and Finders. Neither the Investor Seller nor any of its their respective directors or officers, directors or employees as applicable, has employed any investment banker, broker or finder or incurred or will incur any liability for any financial advisory brokerage payments, investment banking fees, brokerage feescommissions, commissions finders’ fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other similar payments in connection with the transactions contemplated by this AgreementTransaction, except that Seller has employed Centerview Partners LLC as its financial advisor in connection with the Transaction.
Appears in 2 contracts
Sources: Asset Purchase Agreement (Unisys Corp), Asset Purchase Agreement (Science Applications International Corp)
Brokers and Finders. Neither the Investor Buyer nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (Citizens Community Bancorp Inc.), Merger Agreement (Citizens Community Bancorp Inc.)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this AgreementContemplated Transactions, in each case, whose fees the Company would be required to pay.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Business First Bancshares, Inc.), Subordinated Note Purchase Agreement (Business First Bancshares, Inc.)
Brokers and Finders. Neither Except for the Investor Placement Agent, neither the Company nor any of its respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby or thereby.
Appears in 2 contracts
Sources: Note Purchase Agreement (Avenue Financial Holdings, Inc.), Note Purchase Agreement (Fidelity Southern Corp)
Brokers and Finders. Neither the Investor Except for ▇▇▇▇▇▇ ▇▇▇▇▇▇▇, neither Purchaser nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Investment Agreement (DBD Cayman, Ltd.), Investment Agreement (Boston Private Financial Holdings Inc)
Brokers and Finders. Neither the Investor nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)
Brokers and Finders. Neither the Investor Acquiror nor Guarantor nor any of its their respective officers, directors or employees employees, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions commissions, or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Acquiror or Guarantor, in connection with this Agreement or any of the transactions contemplated by this Agreementhereby.
Appears in 2 contracts
Sources: Merger Agreement (Riscorp Inc), Merger Agreement (Riscorp Inc)
Brokers and Finders. Neither the Investor nor Seller not any of its respective officers, directors directors, employees or employees Affiliates (including the Shareholder) has employed any investment banker, broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor 's fees in connection with the transactions contemplated by this Agreementherein.
Appears in 1 contract
Sources: Asset Purchase Agreement (American Seafoods Group LLC)
Brokers and Finders. Neither the such Investor nor (if applicable) ------------------- any of its respective officers, directors directors, employees or employees agents has employed utilized any broker broker, finder, placement agent or finder financial advisor or incurred any liability for any financial advisory fees, brokerage fees, fees or commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with any of the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Buyer nor any of its respective officers, directors or employees has employed any investment banker, broker or finder or incurred that would impose any liability on Seller for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with the transactions contemplated by this Agreement.
Appears in 1 contract
Sources: Asset Purchase and Assignment Agreement (Vernalis PLC)
Brokers and Finders. Neither the Investor Buyer nor any of its their Subsidiaries, nor any of their respective officers, directors or employees (including any officers) has employed any broker or broker, finder or investment bank or has incurred or will incur any obligation or liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with the transactions contemplated Transactions other than in connection with any obligations or liabilities that will be borne solely by this AgreementBuyers and their affiliates.
Appears in 1 contract
Sources: Equity Purchase Agreement (Baxter International Inc)
Brokers and Finders. Neither the Investor nor any of its respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability Liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor nor any of its Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither Except for ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇, LLC, neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Investment Agreement (National Penn Bancshares Inc)
Brokers and Finders. Neither the Investor nor any of its respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the Transaction Documents or the transactions contemplated by this Agreementthereby.
Appears in 1 contract
Sources: Investment Agreement (First Federal Bancshares of Arkansas Inc)
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with this Agreement or the transactions contemplated by this AgreementTransactions.
Appears in 1 contract
Sources: Purchase and Exchange Agreement
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Securities Purchase Agreement (Summit Financial Group Inc)
Brokers and Finders. Neither the Investor Buyer nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker or finder or incurred insured any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor nor its Affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Purchased Shares directly from the Company and not from the Placement Agent.
Appears in 1 contract
Sources: Securities Purchase Agreement (Eastern Virginia Bankshares Inc)
Brokers and Finders. Neither the Investor Purchaser nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Common Shares directly from the Company and not from the Placement Agent.
Appears in 1 contract
Sources: Subscription Agreement (Central Pacific Financial Corp)
Brokers and Finders. Neither the Investor Acquiror nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s feesfinders, and no broker or finder has acted directly or indirectly for the Investor fees in connection with the Merger or the other transactions contemplated by this Agreement, except that Acquiror has employed ▇. ▇. ▇▇▇▇▇▇ Securities, Inc. as its financial advisor.
Appears in 1 contract
Brokers and Finders. Neither Except for the Investor Buyer Financial Advisor, neither Buyer nor its Subsidiaries, nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker broker, finder, or finder investment banker, or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other such fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Buyer, nor any of its respective officers, directors directors, agents or employees has employed any investment banker, broker or finder finder, or incurred any liability on behalf of Buyer, for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders' fees, and no broker or finder has acted directly or indirectly for the Investor in connection with the transactions contemplated by this Agreement.
Appears in 1 contract
Sources: Merger Agreement (Photomedex Inc)
Brokers and Finders. Neither the Investor Purchaser nor any of its Affiliates or any of their respective officers, directors directors, employees or employees has agents have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates or any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred for which the Company will incur any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Buyer nor any of its respective officersofficer, directors director or employees employee thereof, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s finders' fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement and the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Stock Purchase Agreement (Atlantic Premium Brands LTD)
Brokers and Finders. Neither the Investor Except for Buyer Financial Advisor, neither Buyer nor any of its their respective officers, directors directors, employees, or employees Representatives, has employed any broker broker, finder or finder investment banker or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker fees or finder has acted directly or indirectly for the Investor other such fees in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Merger Agreement (First National Bancshares Inc /Sc/)
Brokers and Finders. Neither the Investor Purchaser nor any of its respective officers, directors or employees has employed any broker broker, finder or finder investment banker or incurred any liability for any financial advisory fees, brokerage fees, commissions commissions, finders fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor investment banking fees in connection with the transactions contemplated by this Agreementherein, except that Purchaser has employed and will pay the fees and expenses of Sutter Securities Incorporated.
Appears in 1 contract
Sources: Merger Agreement (Digital Link Corp)
Brokers and Finders. Neither the Investor nor any of its Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Investment Agreement (GeoMet, Inc.)
Brokers and Finders. Neither the Investor Buyer nor any of its Affiliates, nor any of their respective officers, directors or employees employees, has employed any broker broker, investment banker or finder financial advisor or has incurred any liability Liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders fees in connection with the transactions contemplated Transactions based upon arrangements made by this Agreementor on behalf of Buyer or any of its Subsidiaries.
Appears in 1 contract
Sources: Membership Interest Purchase Agreement (Craft Brew Alliance, Inc.)
Brokers and Finders. Neither the Investor Investor, nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Subscribed Securities directly from the Company.
Appears in 1 contract
Brokers and Finders. Neither the Investor nor its respective Affiliates nor any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated by this Agreementhereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.
Appears in 1 contract
Sources: Securities Purchase Agreement (Highlands Bankshares Inc /Va/)
Brokers and Finders. Neither the Investor nor any of its controlled Affiliates or any of their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the such Investor or any of its controlled Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, for which the Company will have liability.
Appears in 1 contract
Brokers and Finders. Neither the Investor nor its Affiliates or any of its their respective officers, officers or directors or employees has have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Brokers and Finders. Neither the Investor Prudential nor any of its affiliates, nor any of their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with the transactions contemplated by this Agreement.
Appears in 1 contract
Brokers and Finders. Neither the Investor Seller nor any of its respective officers, directors Affiliates or employees has Representatives have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Seller in connection with this Agreement or the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Securities Purchase Agreement (Bold Energy Holdings, LLC)
Brokers and Finders. Neither the Investor Seller nor any of its Affiliates or their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with the transactions contemplated by this Agreement.
Appears in 1 contract
Sources: Asset Purchase Agreement (Azur Pharma Public LTD Co)
Brokers and Finders. Neither the Investor nor its affiliates, any of its their respective officers, directors directors, employees or employees agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated by this Agreementhereby, in each case, whose fees the Company would be required to pay.
Appears in 1 contract
Brokers and Finders. Neither Except as set forth in Section 2.3(g) of the Investor’s Disclosure Letter, neither the Investor nor any of its respective officers, directors agents or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with the Transaction Documents or the transactions contemplated by this Agreementhereby and thereby.
Appears in 1 contract
Brokers and Finders. Neither Shareholders nor the Investor Company, nor any of its respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with the transactions contemplated by this Agreement. Shareholders agrees to indemnify, defend and hold Buyer harmless from any liability, loss, cost, claim and/or demand that any broker or finder may have in connection with this transaction as a result of actions taken by the Company or Shareholders.
Appears in 1 contract
Brokers and Finders. Neither the Investor Purchaser nor its Affiliates or any of its their respective officers, directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with the transactions contemplated by this Agreementhereby.
Appears in 1 contract
Sources: Securities Purchase Agreement (Hanmi Financial Corp)
Brokers and Finders. Neither the such Investor nor (if applicable) any of its respective officers, directors directors, employees or employees agents has employed utilized any broker broker, finder, placement agent or finder financial advisor or incurred any liability for any financial advisory fees, brokerage fees, fees or commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with any of the transactions contemplated by this Agreementhereby. ARTICLE IV.
Appears in 1 contract
Brokers and Finders. Neither the such Investor nor its Affiliates or any of its their respective officers, officers or directors or employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for such Investor, in connection with this Agreement or the Investor transactions contemplated hereby. The Company will not be responsible for any brokerage, finder’s or other fee or commission to any broker, finder or investment banker in connection with the transactions contemplated by this AgreementAgreement or the Transaction Documents based upon arrangements made by or on behalf of such Investor or its Affiliates.
Appears in 1 contract
Sources: Exchange Agreement (X Rite Inc)
Brokers and Finders. Neither the Investor Buyer nor any officer, director, or employee of its respective officers, directors Buyer has incurred or employees has employed will incur any broker or finder or incurred any liability liabilities for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with the transactions transaction contemplated hereby, other than fees paid in full by this AgreementBuyer.
Appears in 1 contract