No General Solicitation; Placement Agent’s Fees. None of the Company, any of its Affiliates, or any Person acting on the behalf of the Company or any of its Affiliates, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, relating to or arising out of the transactions contemplated hereby.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Borqs Technologies, Inc.), Securities Purchase Agreement (Borqs Technologies, Inc.), Securities Purchase Agreement (Mullen Automotive Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries or affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesNote. The Company shall be responsible for the payment of any of its placement agent’s 's fees, financial advisory fees, or brokers’ commissions, ' commissions (other than for Persons engaged by the Investor or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 6 contracts
Samples: Note Purchase Agreement (Top Ships Inc.), Note Purchase Agreement (Top Ships Inc.), Note Purchase Agreement (Top Ships Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries or affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by the Investor or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Paragon Shipping Inc.), Securities Purchase Agreement (Paragon Shipping Inc.), Securities Purchase Agreement (Box Ships Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliates, or nor any Person person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation DD of the Securities Act) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Oramed Pharmaceuticals Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its subsidiaries or Affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions relating to or arising out of the transactions contemplated hereby.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Lm Funding America, Inc.), Securities Purchase Agreement (Lm Funding America, Inc.), Securities Purchase Agreement (Lm Funding America, Inc.)
No General Solicitation; Placement Agent’s Fees. None of the Company, any of its Affiliates, or any Person acting on the behalf of the Company or any of its Affiliates, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, relating to or arising out of the transactions contemplated hereby.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Nuburu, Inc.), Securities Purchase Agreement (Nuburu, Inc.), Securities Purchase Agreement (Mullen Automotive Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 3 contracts
Samples: Securities Purchase Agreement (National Investment Managers Inc.), Securities Purchase Agreement (Jmar Technologies Inc), Securities Purchase Agreement (Jmar Technologies Inc)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for persons engaged by the undersigned or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 3 contracts
Samples: Subscription Agreement (Liquidmetal Technologies Inc), Subscription Agreement (Liquidmetal Technologies Inc), Subscription Agreement (Liquidmetal Technologies Inc)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries or affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Allied Defense Group Inc), Securities Purchase Agreement (Allied Defense Group Inc), Securities Purchase Agreement (Allied Defense Group Inc)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries, or nor any Person acting on the its or their behalf of the Company or any of its Affiliatesat their respective direction, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s agents’ fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by the Investor or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 2 contracts
Samples: Exchange Agreement (Viggle Inc.), Exchange Agreement (Viggle Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Liquidmetal Technologies Inc), Securities Purchase and Exchange Agreement (Liquidmetal Technologies Inc)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for has not engaged any placement agent or other agent in connection with the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, relating to or arising out sale of the transactions contemplated herebyCommon Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Viewpoint Corp), Securities Purchase Agreement (Viewpoint Corp)
No General Solicitation; Placement Agent’s Fees. None of the Company, any of its Affiliates, or any Person acting on the behalf of the Company or any of its Affiliates, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, relating to or arising out of the transactions contemplated hereby.
Appears in 2 contracts
Samples: Securities Purchase Agreement (NAKED BRAND GROUP LTD), Securities Purchase Agreement (NAKED BRAND GROUP LTD)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesNotes. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Notes pursuant to this Agreement.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
Samples: Securities Purchase Agreement (Skyline Medical Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, any of its Affiliates, or nor any Person acting on the behalf of the Company or any of its Affiliatesbehalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesNotes. The No broker has acted on behalf of the Company shall be responsible for the payment of any of its placement agent’s feesin connection with this Agreement, financial advisory fees, or brokers’ and there are no brokerage commissions, relating to finders’ fees or arising out of similar fees or commissions payable in connection therewith based on any agreement, arrangement or understanding with the transactions contemplated herebyCompany or any action taken by the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Antigenics Inc /De/)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for persons engaged by Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, Company nor any of its Affiliates, or any Person acting on the behalf of the Company or any of its Affiliates, Affiliates has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commission (other than for persons engaged by any Purchaser or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Securities pursuant to this Agreement.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of as those terms are defined in Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s 's fees, financial advisory fees, or brokers’ commissions, ' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None Neither the Company, nor any of its Subsidiaries, nor, to the knowledge of the Company, any of its Affiliates, or any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
Samples: Securities Purchase Agreement (Papa Johns International Inc)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries or affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesShares. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by the Investor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Common Shares pursuant to this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (PROLOR Biotech, Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries, or nor any Person acting on the its or their behalf of the Company or any of its Affiliatesat their respective direction, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s agents’ fees, financial advisory fees, or brokers’ commissions, commissions (other than for Persons engaged by the Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. None of Neither the Seller, Company, nor any of its subsidiaries or Affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation DD under the 1000 Xxx) in connection with the offer or sale of the SecuritiesCommon Shares. The Company Seller shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
Samples: Stock Purchase Agreement (Lm Funding America, Inc.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliates, or nor any Person acting on the behalf of the Company or any of its Affiliates, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation DRule 506 of the 0000 Xxx) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, commissions relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
Samples: Securities Purchase Agreement (Luokung Technology Corp.)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Affiliatesaffiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s fees, financial advisory fees, or brokers’ commissions, including an amount equal to five percent (5%) of the applicable Purchase Price payable upon the First Closing to Persons engaged by Buyer or its investment advisor, relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract
Samples: Securities Purchase Agreement (Tanzanian Royalty Exploration Corp)
No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its AffiliatesSubsidiaries or affiliates, or nor any Person acting on the behalf of the Company its or any of its Affiliatestheir behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any of its placement agent’s 's fees, if any, financial advisory fees, or brokers’ commissions, ' commissions (other than for persons engaged by Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby.
Appears in 1 contract