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 participating in the offering as defined in FINRA Rule 5110(j)(15) (“Participating Member”); or (iii) any person or entity that has any direct or indirect affiliation or association with any Participating 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 4 contracts
Sources: Underwriting Agreement (T20 Holdings Ltd.), Underwriting Agreement (T20 Holdings Ltd.), Underwriting Agreement (T20 Holdings Pte. 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 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 participating in the offering as defined in FINRA Rule 5110(j)(15) 5110 (“Participating FINRA Member”); or (iii) any person or entity that has any direct or indirect affiliation or association with any Participating MemberFINRA 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 (Concorde International Group Ltd.), Underwriting Agreement (Concorde International Group Ltd.), Underwriting Agreement (Concorde International Group 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 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 participating in the offering as defined in FINRA Rule 5110(j)(15) (“Participating Member”)member; or (iii) any person or entity that has any direct or indirect affiliation or association with any Participating MemberFINRA member, in the case of (i), (ii) or (iii) 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 (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.)
Payments Within Twelve (12) Months. Except (a) as described in the Registration Statement, the Pricing Disclosure Package and the ProspectusProspectus or (b) with respect to amounts otherwise paid or payable to the Representative or its affiliates or designees, 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 participating in the offering as defined in FINRA Rule 5110(j)(15) (“Participating Member”)member; or (iii) any person or entity that has any direct or indirect affiliation or association with any Participating MemberFINRA member, within the twelve (12) months prior to the Effective Date, other than than, in each case, the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Globeimmune Inc), Underwriting Agreement (Globeimmune 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 CompanyCompany except as not required to be disclosed pursuant to the Securities Act and the Securities Act Regulations; (ii) any participating FINRA member participating in the offering as defined in FINRA Rule 5110(j)(15) (“Participating Member”)member; or (iii) any person or entity that has any direct or indirect affiliation or association with any Participating Memberparticipating 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