Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 434 contracts
Sources: Underwriting Agreement (Venu Holding Corp), Underwriting Agreement (Venu Holding Corp), Underwriting Agreement (Vision Marine Technologies Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 67 contracts
Sources: Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Empro Group Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) in connection with the Offering to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offeringhereunder.
Appears in 44 contracts
Sources: Underwriting Agreement (Callan JMB Inc.), Underwriting Agreement (Callan JMB Inc.), Underwriting Agreement (Ming Shing Group Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 35 contracts
Sources: Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (XTI Aerospace, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 26 contracts
Sources: Underwriting Agreement (Star Fashion Culture Holdings LTD), Underwriting Agreement (Citius Pharmaceuticals, Inc.), Underwriting Agreement (Citius Pharmaceuticals, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 24 contracts
Sources: Underwriting Agreement (Silynxcom Ltd.), Underwriting Agreement (Silynxcom Ltd.), Underwriting Agreement (Evoke Pharma Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than (A) the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering, and (B) other payments to the Placement Agent under other engagement letters.
Appears in 17 contracts
Sources: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Payments Within Twelve (12) Months. Except as described disclosed to the Representative in the Registration Statement, the Pricing Disclosure Package and the Prospectuswriting, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i1) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii2) any FINRA member; or (iii3) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective DateTime of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offeringpublic offering contemplated hereunder.
Appears in 14 contracts
Sources: Underwriting Agreement (UpHealth, Inc.), Underwriting Agreement (UpHealth, Inc.), Underwriting Agreement (Bionano Genomics, Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the The Company has not made any direct or indirect payments in connection with the Offering (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 12 contracts
Sources: Underwriting Agreement (Marwynn Holdings, Inc.), Underwriting Agreement (Marwynn Holdings, Inc.), Underwriting Agreement (Marwynn Holdings, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than (A) the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering, and (B) other payments to the Placement Agent under other engagement letters.
Appears in 11 contracts
Sources: Placement Agency Agreement (Oragenics Inc), Placement Agency Agreement (Oragenics Inc), Placement Agency Agreement (Oragenics Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 11 contracts
Sources: Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (Roadzen Inc.), Underwriting Agreement (BriaCell Therapeutics Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and Package, or the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 10 contracts
Sources: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (iA) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (iiB) to any FINRA member; or (iiiC) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the prior payment to the Underwriters Underwriters, as provided hereunder in connection with the Offering.
Appears in 10 contracts
Sources: Underwriting Agreement (Idea Tech Holding LTD), Underwriting Agreement (KWF Group Holding LTD), Underwriting Agreement (Hang Feng Technology Innovation Co., Ltd.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 9 contracts
Sources: Placement Agency Agreement (Sidus Space Inc.), Placement Agency Agreement (Transcode Therapeutics, Inc.), Placement Agency Agreement (XTI Aerospace, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and or the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) with respect to the offering of the Securities to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than effective date of the payment to the Underwriters as provided hereunder in connection with the OfferingRegistration Statement.
Appears in 9 contracts
Sources: Underwriting Agreement (Sachem Capital Corp.), Underwriting Agreement (Sachem Capital Corp.), Underwriting Agreement (Sachem Capital Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Placement Agency Agreement (Addentax Group Corp.), Placement Agency Agreement (Greenpro Capital Corp.), Placement Agency Agreement (Greenpro Capital Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Placement Agency Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (Biovie Inc.), Placement Agency Agreement (Sphere 3D Corp)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) in connection with the Offering to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Underwriting Agreement (Biovie Inc.), Underwriting Agreement (Aspira Women's Health Inc.), Underwriting Agreement (Biovie Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (iA) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (iiB) to any FINRA member; or (iiiC) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the prior payment of US$[●] to the Underwriters Underwriters, as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Underwriting Agreement (Autozi Internet Technology (Global) Ltd.), Underwriting Agreement (Richtech Robotics Inc.), Underwriting Agreement (Creative Global Technology Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee’s, consulting consulting, origination fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 8 contracts
Sources: Underwriting Agreement (Maison Solutions Inc.), Underwriting Agreement (Oranco Inc), Underwriting Agreement (Maison Solutions Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 7 contracts
Sources: Placement Agency Agreement (PARETEUM Corp), Placement Agency Agreement (PARETEUM Corp), Placement Agency Agreement (ITUS Corp)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any personPerson, as a finder’s fee, consulting fee or otherwise, in consideration of such person Person raising capital for the Company or introducing to the Company persons Persons who raised or provided capital to the Company; (ii) any FINRA member; or (iii) any person or entity Person that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 6 contracts
Sources: Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Time of Sale Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 6 contracts
Sources: Underwriting Agreement (New Horizon Aircraft Ltd.), Underwriting Agreement (Sonnet BioTherapeutics Holdings, Inc.), Underwriting Agreement (Sonnet BioTherapeutics Holdings, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 6 contracts
Sources: Placement Agency Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any FINRA member; or (iii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the prior payment of US$225,000 to the Underwriters Underwriter, as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (Webus International Ltd.), Underwriting Agreement (Webus International Ltd.), Underwriting Agreement (Webus International Ltd.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months immediately prior to the Effective Dateoriginal filing of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.)
Payments Within Twelve (12) Months. Except as described in the Company’s Commission filings, the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any personPerson, as a finder’s fee, consulting fee or otherwise, in consideration of such person Person raising capital for the Company or introducing to the Company persons Persons who raised or provided capital to the Company; (ii) any FINRA member; or (iii) any person or entity Person that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (Mixed Martial Arts Group LTD), Underwriting Agreement (Entero Therapeutics, Inc.), Underwriting Agreement (iSpecimen Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Closing Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (Mapi - Pharma LTD), Underwriting Agreement (Timberline Resources Corp), Underwriting Agreement (Timberline Resources Corp)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Materials, and the Prospectus, the Company or any Insider has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) or reached any personarrangements, as a agreements, or understanding with any person or entity relating to any finder’s fee, consulting fee or otherwisesimilar arrangement, in consideration of such person or entity raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (NUSATRIP Inc), Underwriting Agreement (NUSATRIP Inc), Underwriting Agreement (Rainbow Capital Holdings LTD)
Payments Within Twelve (12) Months. Except as disclosed to the Representative or as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (BriaCell Therapeutics Corp.), Underwriting Agreement (BriaCell Therapeutics Corp.), Underwriting Agreement (BriaCell Therapeutics Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (ii) any FINRA member; member; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Offering Statement, the Pricing Disclosure Package Materials and the ProspectusFinal Offering Circular, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Dateinitial filing of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (Manhattan Bridge Capital, Inc), Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Top Ships Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to Months period immediately preceding the Effective Date, other than original filing date of the payment to the Underwriters as provided hereunder in connection with the OfferingRegistration Statement.
Appears in 4 contracts
Sources: Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Closing Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (Propanc Biopharma, Inc.), Underwriting Agreement (Propanc Biopharma, Inc.), Underwriting Agreement (Propanc Biopharma, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee’s, consulting consulting, origination fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) any FINRA membermember other than Univest Securities LLC; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (MaxsMaking Inc.), Underwriting Agreement (MaxsMaking Inc.), Underwriting Agreement (MaxsMaking Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (iA) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (iiB) any FINRA member; member; or (iiiC) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Tianci International, Inc.), Underwriting Agreement (Tianci International, Inc.), Underwriting Agreement (Tianci International, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (DPW Holdings, Inc.), Underwriting Agreement (CollabRx, Inc.), Underwriting Agreement (CollabRx, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (GREENPOWER MOTOR Co INC.), Underwriting Agreement (KWESST Micro Systems Inc.), Underwriting Agreement (KWESST Micro Systems Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to Months period immediately preceding the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Toppoint Holdings Inc.), Underwriting Agreement (Toppoint Holdings Inc.), Underwriting Agreement (Toppoint Holdings Inc.)
Payments Within Twelve (12) Months. Except as described disclosed in the Registration Statement, final prospectus related to the Pricing Disclosure Package and the ProspectusCompany’s initial public offering, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Placement Agency Agreement (Lucas GC LTD), Placement Agency Agreement (Lucas GC LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the OfferingOffering and in connection with the IPO.
Appears in 2 contracts
Sources: Underwriting Agreement (Sachem Capital Corp.), Underwriting Agreement (Sachem Capital Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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, in each case within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (iSign Solutions Inc.), Underwriting Agreement (iSign Solutions Inc.)
Payments Within Twelve (12) Months. Except as described in connection with the Registration Statement, the Pricing Disclosure Package and the ProspectusCompany’s initial public offering, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and or the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Intellipharmaceutics International Inc.), Underwriting Agreement (Intellipharmaceutics International Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Time of Sale Information and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) in connection with the Offering to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offeringhereunder.
Appears in 2 contracts
Sources: Underwriting Agreement (Ammo, Inc.), Underwriting Agreement (Ammo, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (ia) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (iib) any FINRA member; or (iiic) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (Cesca Therapeutics Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i1) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii2) any FINRA member; or (iii3) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Placement Agent Agreement (Inmune Bio, Inc.), Placement Agent Agreement (Inmune Bio, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agents as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Placement Agency Agreement (Moxian, Inc.), Placement Agency Agreement (Moxian, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Placement Agency Agreement (KWESST Micro Systems Inc.), Placement Agency Agreement (KWESST Micro Systems Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Time of Sale Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (Super League Gaming, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Verb Technology Company, Inc.), Underwriting Agreement (Verb Technology Company, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Offering Statement, the Pricing Disclosure Package Materials and the ProspectusFinal Offering Circular, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Selling Agents as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Selling Agency Agreement (Level Brands, Inc.), Selling Agency Agreement (Level Brands, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Biovie Inc.), Underwriting Agreement (Hepion Pharmaceuticals, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and Package, or the ProspectusProspectus or disclosed to the Underwriter, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Nano Dimension Ltd.), Underwriting Agreement (Nano Dimension Ltd.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the any Permitted Free Writing Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement or any Terms Agreement, other than the payment to the Underwriters Agents as provided hereunder in connection with the Offeringhereunder.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Post-Effective Amendment and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any FINRA member; or (iii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the prior payment of US$120,000 to the Underwriters Underwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (ii) any FINRA member; member; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the ProspectusPackage, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offeringdate hereof.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering, in each case other than advances or reimbursement of expenses, including non-accountable expenses.
Appears in 1 contract
Sources: Underwriting Agreement (Cellectar Biosciences, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than payments to the Representative for acting as placement agent for the Company in a private placement completed by the Company, and the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Myomo Inc)
Payments Within Twelve (12) Months. Except as described in Schedule 2.19.2, the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Vapor Corp.)
Payments Within Twelve (12) Months. Except as described disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agents as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Placement Agency Agreement (Global Mofy Metaverse LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the OfferingOffering and payments made in connection with the Company’s at-the-market equity offering program with Maxim Group LLC.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the SEC Reports, the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (G Medical Innovations Holdings Ltd.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (ii) any FINRA member; member; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder providedhereunder in connection with the Offering.
Appears in 1 contract
Sources: Placement Agency Agreement (BriaCell Therapeutics Corp.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Closing Date, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Placement Agency Agreement (Matinas BioPharma Holdings, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters R▇▇▇ as provided hereunder in connection with the Offeringsale of Shares.
Appears in 1 contract
Sources: Equity Distribution Agreement (xG TECHNOLOGY, INC.)
Payments Within Twelve (12) Months. Except as disclosed in writing to the Representative or as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.or
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to (y) the Underwriters as provided hereunder in connection with the OfferingOffering and (z) D▇▇▇▇▇ ▇▇▇▇▇ Securities, Inc. in the amount of approximately $10,000.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Dateeffective date of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any FINRA member; or (iii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering,.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than (i) payments to the Representative for acting as placement agent in the Company’s equity financings during the past twelve (12) months and (ii) the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any FINRA member; or (iii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriers, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (ii) any FINRA member; member; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters any Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Time of Sale Information and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) in connection with the Offering to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering, and as provided in the underwriting agreement, dated March 31, 2014, by and between the Company and the Representative (the “Prior Underwriting Agreement”).
Appears in 1 contract
Sources: Underwriting Agreement (1347 Property Insurance Holdings, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Oculus Innovative Sciences, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, solely in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Placement Agency Agreement (Oramed Pharmaceuticals Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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, in each case, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Eleison Pharmaceuticals Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (iA) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; , (iiB) any FINRA member; , or (iiiC) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
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Payments Within Twelve (12) Months. Except as described disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters Placement Agents as provided hereunder in connection with the Offering.
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Sources: Placement Agency Agreement (Global Mofy Metaverse LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate hereof, other than the payment to the Underwriters as provided hereunder in connection with the Offeringoffering of the Securities hereunder.
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Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Splash Beverage Group, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than any payment to ▇▇▇▇▇▇ & ▇▇▇▇▇▇▇, LLC and the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Professional Diversity Network, LLC)
Payments Within Twelve (12) Months. Except as described in the Registration Offering Statement, the Pricing Disclosure Package Materials and the ProspectusFinal Offering Circular, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective each Qualification Date, other than the payment to the Underwriters Placement Agents as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Placement Agency Agreement (Campagna Motors USA Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing General Disclosure Package and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters Evercore as provided hereunder in connection with the Offeringsale of Shares.
Appears in 1 contract
Sources: Equity Distribution Agreement (Ion Geophysical Corp)
Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus, the Company has not made any direct or indirect payments in connection with the Offering (in cash, securities securities, or otherwise) to: (i) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or 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 twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract