Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (Baiya International Group Inc.), Underwriting Agreement (CTRL GROUP LTD), Underwriting Agreement (Baiya International Group Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 80,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (CTRL GROUP LTD), Underwriting Agreement (Leishen Energy Holding Co., Ltd.), Underwriting Agreement (ORIENTAL RISE HOLDINGS LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 100,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (Golden Sun Education Group LTD), Underwriting Agreement (Golden Sun Education Group LTD), Underwriting Agreement (Golden Sun Education Group LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 50,000 to the UnderwritersRepresentative, as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (Millennium Group International Holdings LTD), Underwriting Agreement (Millennium Group International Holdings LTD), Underwriting Agreement (Millennium Group International Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 50,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (Vittoria LTD), Underwriting Agreement (Vittoria LTD), Underwriting Agreement (FBS Global LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 91,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 4 contracts
Sources: Underwriting Agreement (EShallGo Inc.), Underwriting Agreement (EShallGo Inc.), Underwriting Agreement (EShallGo Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 150,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (BloomZ Inc.), Underwriting Agreement (BloomZ Inc.), Underwriting Agreement (BloomZ Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than a US$129,100 payment to Univest Securities LLC, the prior payment of US$[ ] to former underwriter for the UnderwritersCompany, in 2022 and 2023, as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD), Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD), Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) 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$[ $[●] to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Pitanium LTD), Underwriting Agreement (Happy City Holdings LTD), Underwriting Agreement (Pitanium LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the prior payment of US$[ ] $80,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Luda Technology Group LTD), Underwriting Agreement (Luda Technology Group LTD), Underwriting Agreement (Luda Technology Group LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 160,000 to the UnderwritersRevere Securities LLC, as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (NetClass Technology Inc), Underwriting Agreement (NetClass Technology Inc)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 95,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Fortune Valley Treasures, Inc.), Underwriting Agreement (Fortune Valley Treasures, Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 125,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Starbox Group Holdings Ltd.), Underwriting Agreement (Intelligent Living Application Group Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ [number] to the Underwriters, as provided hereunder in connection with the Offering, and the prior payment of US$79,697 to Prime Number Capital LLC.
Appears in 1 contract
Sources: Underwriting Agreement (Pop Culture Group Co., LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ [number] to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Tian Ruixiang Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 98,400 to the Underwritersprevious underwriter of the Company, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Zhengye Biotechnology Holding LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 250,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 80,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Millennium Group International Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 100,000 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 and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 155,000 to the UnderwritersUnderwriter and a US$10,000 payment to Axiom Capital Management, Inc., one of the former underwriters for the Company, in January 2022, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] US$ to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Golden Sun Education Group LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 120,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 75,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Intelligent Living Application Group Inc.)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 40,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 75,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Planet Image International LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) 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$[ ] $110,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 20,000 to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 15,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 160,000 to the UnderwritersRepresentative, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) 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; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 45,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 99,000 to the Underwritersprevious underwriter of the Company, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Zhengye Biotechnology Holding LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ [130,000] to the UnderwritersUnderwriter, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) to any FINRA member; or (C) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 45,000 to the UnderwritersUnderwriters , as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ [number] to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Tian Ruixiang Holdings LTD)
Payments Within Twelve (12) Months. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (Bii) to any FINRA member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of US$[ ] 150,000 to the Underwriters, as provided hereunder in connection with the Offering.
Appears in 1 contract