Common use of No General Solicitation; Placement Agent’s Fees Clause in Contracts

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") in connection with the sale of the Company Securities. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (A-Power Energy Generation Systems, Ltd.), Securities Purchase Agreement (A-Power Energy Generation Systems, Ltd.)

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No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Uni-Pixel), Securities Purchase Agreement (KIT Digital, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXXXX Capital Partners, LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Great Basin Scientific, Inc.), Securities Purchase Agreement (Great Basin Scientific, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaWestPark Capital, Inc., as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaThe Shemano Group, Inc. as placement agent (the "Placement Agent") ”), in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Us Dataworks Inc), Securities Purchase Agreement (Us Dataworks Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent Aegis Capital Corp. (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Jeffs' Brands LTD), Securities Purchase Agreement (ParaZero Technologies Ltd.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaLazard Freres & Co. LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Verenium Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent pursuant to the terms of the Engagement Letter in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (LabStyle Innovations Corp.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Securities. The fees and expenses of the Placement Agent to be paid by the Company Securitiesor any of its Subsidiaries are as set forth in that certain Placement Agent Agreement, dated as of the date first set forth above, by and between the Company and the Placement Agent (the “Placement Agent Agreement”). The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent underwriter or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (CAPSTONE TURBINE Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaCxxxx and Company, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Wet Seal Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxxxxx Curhan Ford & Co., as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (General Steel Holdings Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, any placement agent fees payable to Xxxxxxxxxxx AsiaEvolution Venture Partners, as placement agent LLC (the "Placement AgentFinancial Advisor") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent Financial Advisor in connection with the sale of the Company Securities. Other than the Placement AgentFinancial Advisor, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Seneca Biopharma, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the CompanyPrivateCo, nor any of its the PrivateCo Subsidiaries or their affiliates, nor any Person acting on its or their 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 SecuritiesInitial Purchased Shares. The Company PrivateCo shall be responsible for the payment of any placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Company SecuritiesInitial Purchased Shares. The Company PrivateCo shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. PrivateCo acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company PrivateCo nor any of its the PrivateCo Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Company SecuritiesInitial Purchased Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cellect Biotechnology Ltd.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent National Securities Corporation (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable and documented attorney’s fees and out-of- pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Registration Rights Agreement (Ardsley Advisory Partners)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxx Capital Partners LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Liquidmetal Technologies Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaRXXX Capital Partners, LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Real Goods Solar, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxxx Xxxxx Securities, as placement agent Inc. (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Generex Biotechnology Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaJ Sxxxxxxxx Capital, as placement agent LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ener-Core, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' broker’s commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agents in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent Agents in connection with the sale of the Company Securities. Other than the Placement AgentAgents, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ener-Core Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without 4812-8381-8166v.6 limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Securities. The fees and expenses of the Placement Agent to be paid by the Company Securitiesor any of its Subsidiaries are as set forth on Schedule 3(g) attached hereto. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Phunware, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaThe Special Equities Group, a division of Xxxxxx Xxxxx Securities, Inc., as placement agent (the "Placement Agent") in connection with the sale of the Securities. The fees and expenses of the Placement Agent to be paid by the Company Securitiesor any of its Subsidiaries are as set forth on Schedule 3(g) attached hereto. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Oblong, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the CompanyPrivateCo, nor any of its the PrivateCo Subsidiaries or their affiliates, nor any Person acting on its or their 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 SecuritiesInitial Purchased Shares. The Company PrivateCo shall be responsible for the payment of any placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Company SecuritiesInitial Purchased Shares. The Company PrivateCo shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. PrivateCo acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company PrivateCo nor any of its the PrivateCo Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Company SecuritiesInitial Purchased Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vallon Pharmaceuticals, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent National Securities Corporation (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable and documented attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Eyenovia, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxx and Company, LLC as placement agent (the "Placement Agent") in connection with the sale of the Securities and any additional fees payable to the additional placement agent (the “Additional Placement Agent”) set forth on Schedule 3(g). Any such fees or commissions that are payable hereunder are as set forth on Schedule 3(g). The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Agent and the Additional Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Edap TMS Sa)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent XX Xxxxxx LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Solidion Technology Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, any placement agent fees payable to Xxxxxxxxxxx Asia& Co. Inc., as placement agent (the "Placement Agent") in connection with the sale of the Notes. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company SecuritiesNotes. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company SecuritiesNotes.

Appears in 1 contract

Samples: Securities Purchase Agreement (Workhorse Group Inc.)

No General Solicitation; Placement Agent’s Fees. Neither of the CompanyCredit Parties, nor their Subsidiaries, any of its Subsidiaries their Affiliates, or affiliates, nor any Person acting on its or their 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 and the Warrant. The Company Borrower shall be responsible for the payment of any placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer the Lenders or its their investment advisoradvisors) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxxx Xxxxxxxx, LLC, as placement agent (the "Placement Agent") in connection with the sale of the Company Securities. The Company Borrower shall pay, and hold the Lender harmless against, any liability, loss or expense (including, without limitation, attorneys’ fees and out-of-pocket expenses) arising in connection with any such claim. The Borrower acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither none of the Company Credit Parties nor any of its their Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Financing Agreement (Midwest Energy Emissions Corp.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaPalladium Capital Group, as placement agent LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cryptyde, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaWestPark Capital, Inc., as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Securities. The fees and expenses of the Placement Agent to be paid by the Company Securitiesor any of its Subsidiaries are as set forth in that certain Placement Agent Agreement, dated as of the date first set forth above, by and between the Company and the Placement Agent (the “Placement Agent Agreement”). The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Clean Diesel Technologies Inc)

No General Solicitation; Placement Agent’s Fees. Neither Except as set forth in Schedule 3(g) of the Disclosure Schedule, neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons acknowledges that it has engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, Rxxx Capital Partners LLC as placement agent (the "Placement Agent") in connection with the sale of the Company Securities. The Company acknowledges that it has engaged Common Shares, the Placement Agent in connection with Debentures and the sale of the Company SecuritiesWarrants. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Common Shares, the Debentures and the Warrants. The Company Securitiesshall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions payable to the Agent relating to or arising out of the transactions contemplated hereby; provided, the Company shall not be responsible for any such fees or commission for persons engaged by any Buyer or its investment advisor. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim.

Appears in 1 contract

Samples: Securities Purchase Agreement (Telecommunication Systems Inc /Fa/)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaChardan Capital Markets, as placement agent LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Histogenics Corp)

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No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaReedland Capital Partners, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (RADIENT PHARMACEUTICALS Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, Xxxxx & Company as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Javo Beverage Co Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any the Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxxxx Sachs & Co., LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold the Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Comscore, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxx Capital Partners, LLC as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (China Direct, Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent the advisory fees payable to Xxxxxxxxxxx AsiaXxxxxx Xxxxx Securities, as placement agent Inc. and Xxxx Capital Partners, LLC (collectively, the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Smith Micro Software, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent pursuant to the terms of the Engagement Letter in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Can-Fite BioPharma Ltd.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, any placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent JMP Securities LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cellect Biotechnology Ltd.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor nor, to the Company’s knowledge, any of its Subsidiaries Affiliates or affiliates, nor any Person acting on its or their 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 placement agent's agents’ fees, financial advisory fees, fees or brokers' commissions ’ commission (other than for persons engaged by any Buyer Investor or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable out-of-pocket attorney’s fees and expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that it has engaged Leerink Xxxxx LLC and MTS Securities, LLC as its placement agent fees payable to Xxxxxxxxxxx Asiaagents (collectively, as placement agent (the "Placement Agent"Agents”) in connection with the sale of the Company Securities. The Company acknowledges that it has engaged only fees payable to the Placement Agent Agents in connection with the sale of the Company SecuritiesSecurities are as described in the Company’s agreements with the Placement Agents that have been previously provided to the Lead Investors. Other than the Placement AgentAgents, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Nupathe Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaFT Global Capital, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (China Technology Development Group Corp)

No General Solicitation; Placement Agent’s Fees. Neither the CompanySonnet, nor any of its the Sonnet Subsidiaries or their affiliates, nor any Person acting on its or their 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 Sonnet shall be responsible for the payment of any placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent Chardan Capital Markets LLC (the "Placement Agent") in connection with the sale of the Company Securities. The Company Sonnet shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. Sonnet acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company Sonnet nor any of its the Sonnet Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Chanticleer Holdings, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent & Co. Inc. (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ener-Core, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees the Placement Agent Fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent pursuant to the terms of the Engagement Letter in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's reasonable and documented fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Form of Securities Purchase Agreement (Enerpulse Technologies, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent the advisory fees payable to Xxxxxxxxxxx AsiaPalladium Capital Advisors, as placement agent LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (AYRO, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, Maxim Group LLC as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (DigitalFX International Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions or similar fees or payments to any person (other than for persons or entities engaged by any Buyer or its investment advisoron behalf of each Purchaser, the Placement Agent or the holder of the Shares) relating to or arising out of the transactions contemplated herebyTransactions. The Company shall pay, and hold the Purchaser harmless against, any liability, loss or expense (including, without limitation, placement agent foreseeable and documented attorney’s fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent"and out-of-pocket expenses) arising in connection with the sale of the Company Securitiesany such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company SecuritiesShares. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has not engaged any placement agent agent, broker, finder or other agent in connection with the sale of the Company SecuritiesShares and the Transaction Documents.

Appears in 1 contract

Samples: Securities Purchase Agreement (Gold Resource Corp)

No General Solicitation; Placement Agent’s Fees. Neither the CompanyTimber, nor any of its the Timber Subsidiaries or their affiliates, nor any Person acting on its or their 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 Timber shall be responsible for the payment of any placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent (the "Placement Agent") Agent in connection with the sale of the Company Securities. The Company Timber shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. Timber acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company Timber nor any of its the Timber Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (BioPharmX Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx AsiaXxxxx and Company, LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ener-Core Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's the Placement Agent’s fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, as placement agent Maxim Group LLC (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the offer or sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Tantech Holdings LTD)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their 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 placement agent's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, including, without limitation, any placement agent fees payable to Xxxxxxxxxxx AsiaRXXX Capital Partners, LLC, as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Air Industries Group)

No General Solicitation; Placement Agent’s Fees. Neither None of the Company, nor any of its Subsidiaries or affiliates, nor or any Person acting on its or their 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 placement agent's ’s fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby, hereby including, without limitation, placement agent fees payable to Xxxxxxxxxxx Asia, Midtown Partners as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company Securitiesshall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged the Placement Agent in connection with the sale of the Company Securities. Other than the Placement Agent, neither the Company nor any of its Subsidiaries has engaged any placement agent or other agent in connection with the sale of the Company Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (American Defense Systems Inc)

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