Common use of Brokers and Finders Clause in Contracts

Brokers and Finders. Neither the Investor, nor its Affiliates nor any of their respective officers or directors, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby.

Appears in 12 contracts

Samples: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)

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Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby.

Appears in 11 contracts

Samples: Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor or any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 9 contracts

Samples: Investment Agreement (Resideo Technologies, Inc.), Preferred Stock Purchase Agreement (Strategic Storage Trust VI, Inc.), Investment Agreement

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Common Stock directly from the Company and not from the Placement Agent.

Appears in 9 contracts

Samples: Subscription Agreement (Broadway Financial Corp \De\), Subscription Agreement (Broadway Financial Corp \De\), Subscription Agreement (Broadway Financial Corp \De\)

Brokers and Finders. Neither Except as Previously Disclosed, neither the Investor, nor its Affiliates Company nor any of their respective officers or its officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company in connection with this Agreement or the transactions contemplated hereby, the fees of which would be payable by the Investor.

Appears in 9 contracts

Samples: Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\), Stock Purchase Agreement (Broadway Financial Corp \De\)

Brokers and Finders. Neither the Investorsuch Purchaser, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Purchaser in connection with this Agreement or the transactions contemplated hereby.

Appears in 9 contracts

Samples: Stock Purchase Agreement (Southern States Bancshares, Inc.), Securities Purchase Agreement (Hampton Roads Bankshares Inc), Securities Purchase Agreement (Hampton Roads Bankshares Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates Investor nor any of their respective officers its Subsidiaries or directors, Affiliates has employed any broker investment banker, broker, finder, consultant or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor intermediary in connection with this Agreement or the transactions contemplated herebyTransaction that would be entitled to any investment banking, brokerage, finder's or similar fee or commission in any way relating thereto or in connection therewith, other than those (if any) that shall be the sole responsibility of and shall be paid in full by the Investor or its Subsidiaries.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Hearst Communications Inc), Investment Agreement (Nextel Communications Inc), Securities Purchase Agreement (Ivillage Inc)

Brokers and Finders. Neither the such Anchor Investor, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the such Anchor Investor in connection with this Agreement or the transactions contemplated hereby.

Appears in 7 contracts

Samples: Investment Agreement (Anchorage Advisors, LLC), Investment Agreement (DBD Cayman, Ltd.), Investment Agreement (Hampton Roads Bankshares Inc)

Brokers and Finders. Neither Except for the InvestorPlacement Agent, neither the Company nor its Affiliates the Bank nor any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company or the Bank, in connection with this Agreement or the transactions contemplated hereby.

Appears in 7 contracts

Samples: Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp), Investment Agreement (Coastal Financial Corp)

Brokers and Finders. Neither the Investor, Buyer nor its Affiliates Subsidiaries nor any of their respective officers officers, directors, employees, or directorsRepresentatives, has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 5 contracts

Samples: Agreement and Plan of Merger (Carolina Financial Corp), Agreement and Plan of Merger (Congaree Bancshares Inc), Agreement and Plan of Merger (State Bank Financial Corp)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 5 contracts

Samples: Investment Agreement (T-Viii Pubopps Lp), Investment Agreement (TriState Capital Holdings, Inc.), Investment Agreement (DBD Cayman, Ltd.)

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby.

Appears in 5 contracts

Samples: Investment Agreement (FNB United Corp.), Investment Agreement (FNB United Corp.), Investment Agreement (Central Pacific Financial Corp)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers its officers, directors or directors, employees has employed any investment banker, broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions commissions, finders' fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor similar compensation in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 4 contracts

Samples: Subscription Agreement (Us Industries Inc /De), Securities Purchase Agreement (Us Industries Inc /De), Securities Purchase Agreement (Us Industries Inc /De)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors, in connection with this Agreement or the transactions contemplated hereby.

Appears in 4 contracts

Samples: Warrant Acquisition Agreement (FreightCar America, Inc.), Warrant Acquisition Agreement (Pacific Investment Management Co LLC), Warrant Acquisition Agreement (FreightCar America, Inc.)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their its respective officers or officers, directors, has or employees have employed any broker broker, finder, or finder investment banker or incurred any liability Liability for any financial advisory feescommission, brokerage feesbrokerage, commissions or investment-banking fee, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fee in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 4 contracts

Samples: Purchase Agreement (ARC Group Worldwide, Inc.), Purchase Agreement (ARC Group Worldwide, Inc.), Purchase Agreement

Brokers and Finders. Neither the Investor, nor its Affiliates nor any of their respective officers or directors, The Investor has not employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 4 contracts

Samples: Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc), Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc), Stock Purchase Agreement (Anchor Bancorp Wisconsin Inc)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.

Appears in 4 contracts

Samples: Securities Purchase Agreement (MBT Financial Corp), Securities Purchase Agreement (MBT Financial Corp), Securities Purchase Agreement (Eastern Virginia Bankshares Inc)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby.

Appears in 4 contracts

Samples: Securities Purchase Agreement (SWK Holdings Corp), Securities Purchase Agreement (SWK Holdings Corp), Securities Purchase Agreement (Carlson Capital L P)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Suffolk Bancorp), Investment Agreement (Intervest Bancshares Corp), Stock Purchase Agreement (Antares Pharma Inc)

Brokers and Finders. Neither the Investor, Investors nor its their Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor any Investor, in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby.

Appears in 3 contracts

Samples: Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/), Investment Agreement (Sterling Financial Corp /Wa/)

Brokers and Finders. Neither Except for the InvestorBuyer Financial Advisor, neither Buyer nor its Affiliates Subsidiaries, nor any of their respective officers officers, directors, employees, or directorsRepresentatives, has employed any broker or finder finder, or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 3 contracts

Samples: Agreement and Plan of Merger and Reorganization (Entegra Financial Corp.), Agreement and Plan of Merger and Reorganization (First Bancorp /Nc/), Agreement and Plan of Merger and Reorganization (ASB Bancorp Inc)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the such Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby.

Appears in 3 contracts

Samples: Standby Purchase Agreement (Trade Street Residential, Inc.), Standby Purchase Agreement (Trade Street Residential, Inc.), Standby Purchase Agreement (Trade Street Residential, Inc.)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby.

Appears in 3 contracts

Samples: Purchase Agreement (Jarden Corp), Investment Agreement (Warburg Pincus Equity Partners Lp), Investment Agreement (Dime Bancorp Inc)

Brokers and Finders. Neither the Investor, such Purchaser nor any of its Affiliates nor or any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or commissions, finder’s feesfees or similar payments, and no broker or finder has acted directly or indirectly for the Investor such Purchaser, in connection with this Agreement or the transactions contemplated herebyPurchase.

Appears in 3 contracts

Samples: Preferred Stock Purchase Agreement, Preferred Stock Purchase Agreement (Lexicon Pharmaceuticals, Inc.), Securities Purchase Agreement (Earthstone Energy Inc)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.

Appears in 3 contracts

Samples: Securities Purchase Agreement (United Community Financial Corp), Securities Purchase Agreement (Intermountain Community Bancorp), Securities Purchase Agreement (Intermountain Community Bancorp)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers or directors, its Subsidiaries has employed any investment banker, broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 3 contracts

Samples: Stock Purchase Agreement (McLeodusa Inc), Stock Purchase Agreement (McLeodusa Inc), Stock Purchase Agreement (McLeodusa Inc)

Brokers and Finders. Neither the Investor, such Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Purchaser, in connection with this Agreement or the transactions contemplated herebyby this Agreement, in each case, whose fees the Company would be required to pay.

Appears in 3 contracts

Samples: Subordinated Note Purchase Agreement (Southern National Bancorp of Virginia Inc), Note Purchase Agreement (Avenue Financial Holdings, Inc.), Note Purchase Agreement (Fidelity Southern Corp)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Brown Bernard A), Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Securities Purchase Agreement (Sun Bancorp Inc /Nj/)

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Common Shares directly from the Company and not from any Placement Agent.

Appears in 3 contracts

Samples: Subscription Agreement, Subscription Agreement (FNB United Corp.), Subscription Agreement (FNB United Corp.)

Brokers and Finders. Neither the Investor, Investor nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Purchased Shares directly from the Company and not from the Placement Agent.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Highlands Bankshares Inc /Va/), Securities Purchase Agreement (Highlands Bankshares Inc /Va/), Securities Purchase Agreement (Highlands Bankshares Inc /Va/)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay (other than pursuant to the reimbursement of expenses provisions of Section 6.2).

Appears in 3 contracts

Samples: Investment Agreement (Flagstar Bancorp Inc), Investment Agreement (Flagstar Bancorp Inc), Investment Agreement (National City Corp)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay.

Appears in 3 contracts

Samples: Investment Agreement (Seacoast Banking Corp of Florida), Investment Agreement (Seacoast Banking Corp of Florida), Investment Agreement (CapGen Capital Group III LP)

Brokers and Finders. Neither the Investor, No such Investor nor any of its Affiliates affiliates nor any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Recapitalization Agreement (Moneygram International Inc), Recapitalization Agreement (Lee Thomas H Advisors LLC)

Brokers and Finders. Neither the Investor, Acquiror nor its Affiliates Guarantor nor any of their respective officers officers, directors or directorsemployees, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions commissions, or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Acquiror or Guarantor, in connection with this Agreement or any of the transactions contemplated hereby.

Appears in 2 contracts

Samples: Plan and Agreement of Merger (Riscorp Inc), Plan and Agreement of Merger (Riscorp Inc)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Investment Agreement, Investment Agreement (Empire Resorts Inc)

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby.. 24

Appears in 2 contracts

Samples: Stock Purchase Agreement (Professional Holding Corp.), Stock Purchase Agreement (Professional Holding Corp.)

Brokers and Finders. Neither the InvestorBuyer nor any of its Affiliates, nor its Affiliates nor any of their respective officers directors or directors, employees (including any officers) has employed any broker or broker, finder or investment bank or has incurred or will incur any obligation or liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders fees in connection with this Agreement or the transactions contemplated herebyby this Agreement. Buyer shall be solely responsible for the fees of any broker, finder, or agent engaged by Buyer or any of its Affiliates in connection with the Transactions or otherwise.

Appears in 2 contracts

Samples: Membership Interest Purchase Agreement (Biohaven Research Ltd.), Membership Interest Purchase Agreement (Biohaven Pharmaceutical Holding Co Ltd.)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Sun Bancorp Inc /Nj/), Form of   Securities Purchase Agreement (Sun Bancorp Inc /Nj/)

Brokers and Finders. Neither the InvestorExcept for Buyer Financial Advisor, neither Buyer nor its Affiliates Subsidiaries nor any of their respective officers officers, directors, employees, or directorsRepresentatives, has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Employment Agreement (First Community Corp /Sc/), Agreement and Plan of Merger (First Community Corp /Sc/)

Brokers and Finders. Neither the InvestorInvestor or its Affiliates, nor its Affiliates nor any of their respective officers officers, directors or directorsemployees, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Financial Advisor.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Mackinac Financial Corp /Mi/), Securities Purchase Agreement (Mackinac Financial Corp /Mi/)

Brokers and Finders. Neither Except for the InvestorPlacement Agent, nor its Affiliates neither the Company nor any of their respective officers or its officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Company in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby or thereby.

Appears in 2 contracts

Samples: Note Purchase Agreement (Avenue Financial Holdings, Inc.), Note Purchase Agreement (Fidelity Southern Corp)

Brokers and Finders. Neither the Investor, such Investor nor its Affiliates nor any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby.

Appears in 2 contracts

Samples: Purchase Agreement (Moneygram International Inc), Purchase Agreement (Moneygram International Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their its respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Plan and Agreement of Merger (Citizens Community Bancorp Inc.), Plan and Agreement of Merger (Citizens Community Bancorp Inc.)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated herebyContemplated Transactions, in each case, whose fees the Company would be required to pay.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Business First Bancshares, Inc.), Subordinated Note Purchase Agreement (Business First Bancshares, Inc.)

Brokers and Finders. Neither the Investor, nor its Affiliates Purchaser nor any of their respective officers its Affiliates or directors, has Representatives have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Bold Energy Holdings, LLC), Securities Purchase Agreement (Bold Energy Holdings, LLC)

Brokers and Finders. Neither the InvestorExcept for Buyer's financial advisor, nor its Affiliates neither Buyer nor any of their respective officers officers, directors, employees, or directorsRepresentatives, has employed any broker or finder or incurred insured any liability Liability for any financial advisory fees, investment bankers' fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor 's fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Nbog Bancorporation Inc), Agreement and Plan of Merger (El Banco Financial Corp)

Brokers and Finders. Neither the InvestorSeller nor any of its Subsidiaries, nor its Affiliates nor any of their respective officers directors or directorsofficers, as applicable, has employed any investment banker, broker or finder or incurred or will incur any liability for any financial advisory brokerage payments, investment banking fees, brokerage feescommissions, commissions finders’ fees or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other similar payments in connection with this Agreement or the transactions contemplated herebyTransactions.

Appears in 2 contracts

Samples: Membership Interest Purchase Agreement (Biohaven Research Ltd.), Membership Interest Purchase Agreement (Biohaven Pharmaceutical Holding Co Ltd.)

Brokers and Finders. Neither the Investor, nor its Affiliates Investor nor any of its respective officers, directors or employees (acting in their respective officers or directors, capacity as such) has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Note Purchase Agreement (GDS Holdings LTD), Share Subscription Agreement (GDS Holdings LTD)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers its officers, ------------------- directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Unified Financial Services Inc), Agreement and Plan of Merger (Unified Financial Services Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates such Investor nor any of its respective officers, directors or employees (acting in their respective officers or directors, capacity as such) has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Note Purchase Agreement (GDS Holdings LTD), Note Purchase Agreement (GDS Holdings LTD)

Brokers and Finders. Neither the Investor, nor its Affiliates respective Affiliates, nor any of their respective officers or directors, has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Atlantic Capital Bancshares, Inc.), Stock Purchase Agreement (First Security Group Inc/Tn)

Brokers and Finders. Neither Except for any fees payable by Investor to Investor’s Investment Manager, neither the Investor, nor its Affiliates Investor nor any of their its respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 2 contracts

Samples: Stock Purchase Agreement (FJ Capital Management LLC), Stock Purchase Agreement (Centrue Financial Corp)

Brokers and Finders. Neither the Investor, such Initial Investor nor its Affiliates nor or any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor such Initial Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Lonestar Resources US Inc.), Securities Purchase Agreement (Lonestar Resources US Inc.)

Brokers and Finders. Neither the InvestorBuyer, nor its Affiliates nor any of their respective officers its officers, directors, employees or directorsmanagers, has employed any broker broker, finder, advisor or finder consultant, or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders' fees, and no broker advisory fees or finder has acted directly or indirectly for the Investor consulting fees in connection with this Agreement or the transactions contemplated herebyhereby for which Buyer has or could have any liability.

Appears in 2 contracts

Samples: Asset Purchase Agreement, Asset Purchase Agreement (Lenco Mobile Inc.)

Brokers and Finders. Neither the Investor, such Investor nor its Affiliates nor (if applicable) ------------------- any of their respective officers or its officers, directors, employees or agents has employed utilized any broker broker, finder, placement agent or finder financial advisor or incurred any liability for any financial advisory fees, brokerage fees, fees or commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or any of the transactions contemplated hereby.

Appears in 1 contract

Samples: Stock Purchase Agreement (Patina Oil & Gas Corp)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers its officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Buyer in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Exhibit 2 Agreement and Plan of Merger (Unified Financial Services Inc)

Brokers and Finders. Neither the InvestorBuyer nor any of its Subsidiaries, nor its Affiliates nor any of their respective officers directors or directors, service providers (including any officers) has employed any broker or broker, finder or investment bank or has incurred or will incur any obligation or liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders fees in connection with this Agreement or the transactions contemplated herebyTransactions.

Appears in 1 contract

Samples: Interest Purchase Agreement (SVB Financial Group)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor Affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.. 11

Appears in 1 contract

Samples: Investment Agreement (Pab Bankshares Inc)

Brokers and Finders. Neither the Investor, Seller nor its Affiliates nor ------------------- any of their respective officers its officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Seller in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Unified Holdings Inc)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with this Agreement or the transactions contemplated herebyTransactions.

Appears in 1 contract

Samples: Purchase and Exchange Agreement

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Brokers and Finders. Neither the Investor, nor its Affiliates Seller nor any of their respective officers its Affiliates or directors, has Representatives have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Seller in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Securities Purchase Agreement (Bold Energy Holdings, LLC)

Brokers and Finders. Neither the Investor, nor its Affiliates Seller nor any of its Affiliates or their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 1 contract

Samples: Asset Purchase Agreement (Azur Pharma Public LTD Co)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor affiliates, any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby, in each case, whose fees the Company would be required to pay.

Appears in 1 contract

Samples: Stock Purchase Agreement (Palmetto Bancshares Inc)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates Affiliates, nor any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (River Valley Bancorp)

Brokers and Finders. Neither the Investor, Investor nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Securities directly from the Company and not from the Placement Agent.

Appears in 1 contract

Samples: Securities Purchase Agreement (Highlands Bankshares Inc /Va/)

Brokers and Finders. Neither the Investor, nor its Affiliates Investor nor any of their its respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement the Transaction Documents or the transactions contemplated herebythereby.

Appears in 1 contract

Samples: Investment Agreement (First Federal Bancshares of Arkansas Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates The Investor represents and warrants that neither it nor any of their respective officers or directors, its Representatives has employed any broker or finder or incurred any liability Liability for any financial advisory fees, investment bankers' fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (BNP Residential Properties Inc)

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Common Shares directly from the Company and not from the Placement Agent.

Appears in 1 contract

Samples: Subscription Agreement (Central Pacific Financial Corp)

Brokers and Finders. Neither the InvestorPurchaser, nor its Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Stock Purchase Agreement (BCB Bancorp Inc)

Brokers and Finders. Neither the Investor, such Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the such Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ruths Hospitality Group, Inc.)

Brokers and Finders. Neither the Investor, nor its Affiliates Seller nor any of their respective officers ------------------- its officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Seller in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Unified Holdings Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers its officers, directors or directors, employees has employed any investment banker, broker or finder or incurred that would impose any liability on Seller for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 1 contract

Samples: Asset Purchase and Assignment Agreement (Vernalis PLC)

Brokers and Finders. Neither the Investor, nor its Affiliates Purchaser nor any of their respective officers its ------------------- officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor 's fees in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 1 contract

Samples: Purchase and Sale Agreement (New York Health Care Inc)

Brokers and Finders. Neither the InvestorBuyer, nor its Affiliates nor any of their respective officers its officers, managers, members, employees, or directorsagents, has employed any broker broker, finder, advisor or finder consultant, or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders’ fees, and no broker advisory fees or finder has acted directly or indirectly for the Investor consulting fees in connection with this Agreement or the transactions contemplated herebyhereby for which Buyer has or could have any liability.

Appears in 1 contract

Samples: Asset Purchase Agreement (Global Tech Industries Group, Inc.)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred any liability Liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (Crescent Financial Corp)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Registration Rights Agreement (Allis Chalmers Energy Inc.)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyer nor any of their respective officers officers, directors, employees, or directorsRepresentatives, has employed any broker or finder or incurred insured any liability Liability for any financial advisory fees, investment bankers’ fees, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor fees in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Dekalb Bankshares Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates such Stockholder nor any officer, director, or employee of their respective officers such Stockholder has incurred or directors, has employed will incur any broker or finder or incurred any liability liabilities for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions transaction contemplated hereby.

Appears in 1 contract

Samples: Asset Purchase Agreement (Houghton Mifflin Co)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Purchased Shares directly from the Company and not from the Placement Agent.

Appears in 1 contract

Samples: Securities Purchase Agreement (Eastern Virginia Bankshares Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates Purchaser nor any of their its respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Purchase Agreement (Anchor Bancorp Wisconsin Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates any Seller nor any of their respective officers or directors, has its Affiliates have employed any investment banker, broker or finder or incurred any liability for any financial advisory investment banking fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders’ fees in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 1 contract

Samples: Purchase Agreement (Auddia Inc.)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (GeoMet, Inc.)

Brokers and Finders. Neither Except as set forth in Section 2.3(g) of the Investor’s Disclosure Letter, nor its Affiliates neither the Investor nor any of their respective officers its agents or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement the Transaction Documents or the transactions contemplated herebyhereby and thereby.

Appears in 1 contract

Samples: Securities Purchase Agreement (Primerica, Inc.)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Securities Purchase Agreement (Hanmi Financial Corp)

Brokers and Finders. Neither the Investor, Investor nor any of its Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage feesfee, commissions commission or finder’s feesfee, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates or any of their respective officers or directors, each in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Warrant Acquisition Agreement (FreightCar America, Inc.)

Brokers and Finders. Neither the InvestorPurchaser, nor its Affiliates nor any of their respective officers or its directors, officers, or employees has employed any broker agent, broker, finder, investment banker, or finder other intermediary or incurred any liability for any financial advisory feesservices, brokerage fees, commissions commissions, or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser in connection with this Agreement or the transactions contemplated herebyTransactions.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Kingfish Holding Corp)

Brokers and Finders. Neither the Investor, Purchaser nor its Affiliates nor or any of their respective officers or officers, directors, employees or agents has employed any broker or finder or incurred for which the Company will incur any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Purchaser, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (CHC Group Ltd.)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the Series B Preferred Stock Articles of Amendment or the transactions contemplated herebyhereby and thereby.

Appears in 1 contract

Samples: Investment Agreement (BNC Bancorp)

Brokers and Finders. Neither Except for Xxxxxxxx Xxxxxxx, LLC, neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (National Penn Bancshares Inc)

Brokers and Finders. Neither the InvestorBuyer, nor its Affiliates nor any of their respective officers or its officers, directors, agents or employees has employed any investment banker, broker or finder finder, or incurred any liability on behalf of Buyer, for any financial advisory investment banking fees, brokerage fees, commissions or finder’s finders' fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated herebyby this Agreement.

Appears in 1 contract

Samples: Agreement and Plan of Merger (Photomedex Inc)

Brokers and Finders. Neither the InvestorBuyer nor any of Affiliates, nor its Affiliates nor any of their respective officers directors or directorsemployees, has employed any broker broker, investment banker or finder financial advisor or has incurred any liability Liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders fees in connection with this Agreement the Transactions based upon arrangements made by or the transactions contemplated herebyon behalf of Buyer or any of its Subsidiaries.

Appears in 1 contract

Samples: Membership Interest Purchase Agreement (Craft Brew Alliance, Inc.)

Brokers and Finders. Neither the Investor, nor its respective Affiliates nor any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor in connection with this Agreement or the transactions contemplated hereby. The Investor acknowledges that it is purchasing the Subscribed Securities directly from the Company.

Appears in 1 contract

Samples: Subscription Agreement (CommunityOne Bancorp)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor or any of its Affiliates, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Securities Purchase Agreement (Summit Financial Group Inc)

Brokers and Finders. Neither the Investor, nor its Affiliates nor any of their respective officers or directors, The Investor has not employed any broker broker, agent or finder or incurred agreed to incur any liability for any financial advisory fees, brokerage fees, agents' commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor finders' fees in connection with this Agreement or the transactions contemplated hereby, except as otherwise disclosed herein.

Appears in 1 contract

Samples: Securities Purchase Agreement (TRUEYOU.COM)

Brokers and Finders. Neither Seller nor the Investor, nor its Affiliates Bank nor any ------------------- of their respective officers officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for Seller or the Investor Bank in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Agreement and Plan of Exchange (Allegiant Bancorp Inc/Mo/)

Brokers and Finders. Neither the Investor, Buyer nor its Affiliates nor any of their respective officers or officers, directors, employees or Affiliates has employed any broker broker, finder or finder financial advisor or incurred any liability for any financial advisory fees, brokerage fees, fees or commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor other payments in connection with this Agreement or the transactions contemplated herebyherein (except for fees to accountants, lawyers, and advisors).

Appears in 1 contract

Samples: Stock Purchase Agreement (Tb Woods Corp)

Brokers and Finders. Neither the Investor, Investor nor any of its controlled Affiliates nor or any of their respective officers or directors, directors has employed any broker or finder or incurred any liability for any financial advisory feesfee, brokerage fees, commissions or finder’s feesfee, and no broker or finder has acted directly or indirectly for the such Investor or any of its controlled Affiliates or any of their respective officers or directors in connection with this Agreement or the transactions contemplated hereby, in each case, for which the Company will have liability.

Appears in 1 contract

Samples: Stock Purchase Agreement (Farmland Partners Inc.)

Brokers and Finders. Neither the Investor, Investor nor its Affiliates nor or any of their respective officers or directors, has directors have employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s fees, and no broker or finder has acted directly or indirectly for the Investor Investor, in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Investment Agreement (Ally Financial Inc.)

Brokers and Finders. Neither the Investor, nor its Affiliates Buyers nor any of their respective officers ------------------- officers, directors or directors, employees has employed any broker or finder or incurred any liability for any financial advisory fees, brokerage fees, commissions or finder’s 's fees, and no broker or finder has acted directly or indirectly for the Investor Buyers in connection with this Agreement or the transactions contemplated hereby.

Appears in 1 contract

Samples: Agreement and Plan (Mercantile Bancorporation Inc)

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