Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has 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) any FINRA member; or (C) 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 40 contracts
Sources: Underwriting Agreement (MEDI Group LTD), Underwriting Agreement (Ultratrex Inc.), Underwriting Agreement (Haoxin Holdings LTD)
Payments Within Twelve Months. Except for payments made to the Representative and except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 14 contracts
Sources: Underwriting Agreement (BK Technologies Corp), Underwriting Agreement (Ballantyne Strong, Inc.), Underwriting Agreement (Medigus Ltd.)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 12 contracts
Sources: Underwriting Agreement (Twin Vee PowerCats, Co.), Underwriting Agreement (SurgePays, Inc.), Underwriting Agreement (OMNIQ Corp.)
Payments Within Twelve Months. Except for payments made to the Placement Agent and except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 10 contracts
Sources: Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 10 contracts
Sources: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; member; or (Ciii) to the Company’s knowledge, 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 9 contracts
Sources: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Karat Packaging Inc.)
Payments Within Twelve Months. Except as may be described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 9 contracts
Sources: Underwriting Agreement (Kaspien Holdings Inc.), Underwriting Agreement (Avinger Inc), Underwriting Agreement (Avinger Inc)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package Package, and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (Ai) 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; (Bii) any FINRA member; member; or (Ciii) 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 Agents as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Placement Agency Agreement (Cel Sci Corp), Placement Agency Agreement (Cel Sci Corp), Placement Agency Agreement (Cel Sci Corp)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries Controlled Entities has 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) any FINRA member; or (C) 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Sources: Underwriting Agreement (UTime LTD), Underwriting Agreement (UTime LTD), Underwriting Agreement (UTime LTD)
Payments Within Twelve Months. Except as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriter Agreement (Dogness (International) Corp), Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)
Payments Within Twelve Months. Except as described disclosed 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to immediately preceding the Effective Dateoriginal filing date of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD)
Payments Within Twelve Months. Except as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Placement Agent Agreement (Endurance Exploration Group, Inc.), Placement Agreement (Hebron Technology Co., LTD), Placement Agreement (Hebron Technology Co., LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none None of the Company or its Subsidiaries has 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) any FINRA member; or (C) 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Underwriting Agreement (J-Star Holding Co., Ltd.), Underwriting Agreement (J-Star Holding Co., Ltd.), Underwriting Agreement (Elite Education Group International LTD)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale 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: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; 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 advances to cover expenses of the Placement Agent, and payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 3 contracts
Sources: Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the ProspectusProspectus and except as set forth on Schedule 2.19 hereto, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Photomedex Inc), Underwriting Agreement (Photomedex Inc)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale 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: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; 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 advances to cover expenses of the Underwriters, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package Package, and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (Ai) 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; (Bii) any FINRA member; member; or (Ciii) 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 (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement, the Statutory Prospectus and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (WhiteSmoke, Inc.), Underwriting Agreement (WhiteSmoke, Inc.)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale 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: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; 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 advances to cover expenses of the Representative, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (Tantech Holdings LTD), Underwriting Agreement (Tantech Holdings LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Final Prospectus, none of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, investing 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) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months month period prior to the Effective Datedate on which the Registration Statement was initially filed with the Commission, or thereafter, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (OMS Energy Technologies Inc.), Underwriting Agreement (OMS Energy Technologies Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Sources: Underwriting Agreement (China Education, Inc), Underwriting Agreement (China Education, Inc)
Payments Within Twelve Months. Except for payments made to the Placement Agents and except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters Placement Agents as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the 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) in connection with the Offering 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; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months immediately 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
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to the Company’s knowledge, to any FINRA member; member; or (Ciii) to the Company’s knowledge, 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 payment prior payments to the Underwriters Underwriter as provided hereunder in connection with the Offering...
Appears in 1 contract
Sources: Underwriting Agreement (Uni-Pixel)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement, the Base Prospectus and the ProspectusProspectus Supplement, none of the Company or its Subsidiaries 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; Company; (Bii) any FINRA member; member; or (Ciii) 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 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) 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; Company; (Bii) any FINRA member; member; or (Ciii) to the Company's knowledge, 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Cognition Therapeutics Inc)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 (Immuron LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has 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; Company; (B) any FINRA member; member; or (C) 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters Agent as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Months. Except as described in the Pricing Registration Statement, the Time of Sale 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: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; 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 advances to cover expenses of the Representatives, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in each Preliminary Prospectus, the Pricing Disclosure Package Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries 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; Company; (Bii) any FINRA member; member; or (Ciii) to the Company’s knowledge, 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries 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; Company; (Bii) any FINRA member; member; or (Ciii) to the Company’s knowledge, 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 payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale 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: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; 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 advances to cover expenses of the Underwriter, and payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the ProspectusProspectus and except as set forth on Schedule 2.19 hereto, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; 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 $[ ] to ▇▇▇▇▇▇ & ▇▇▇▇▇▇▇, LLC, the Underwriters Representative, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Registration Statement, Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has 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) any FINRA member; or (C) 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 payment to the Underwriters Representative as provided hereunder in connection with the Offering.
Appears in 1 contract
Sources: Underwriting Agreement (Gaucho Group Holdings, Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Final Prospectus, none of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, investing 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) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months twelve-month period prior to the Effective Datedate on which the Registration Statement was initially filed with the Commission, or thereafter, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries 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; Company; (Bii) to any FINRA member; member; or (Ciii) to the Company’s knowledge, 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 payment payments to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package 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: (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; Company; (Bii) any FINRA member; member; or (Ciii) 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 Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
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