No Payments to any Members. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or in any other form of payment that would be deemed to be “underwriting compensation” as defined in Rule 5110 of FINRA’s Manual): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that, to the Company’s knowledge, has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that, to the Company’s knowledge, has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.
Appears in 5 contracts
Samples: Underwriting Agreement (Ocelot Acquisition Corp I), Underwriting Agreement (G&P Acquisition Corp.), Underwriting Agreement (G&P Acquisition Corp.)
No Payments to any Members. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or in any other form “item of payment that would be deemed to be “underwriting compensationvalue” as defined in Rule 5110 5110(c)(3) of FINRA’s ManualConduct Rules): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that, to the Company’s knowledge, has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that, to the Company’s knowledge, has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) twelve months prior to the effective date of the FINRA ManualRegistration Statement, other than payments to the Underwriters pursuant to this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (Amplitude Healthcare Acquisition Corp), Underwriting Agreement (Amplitude Healthcare Acquisition Corp)
No Payments to any Members. Except as described in the Registration Statement and the Prospectus, the Company has not made any direct or indirect payments (in cash, securities or in any other form of payment that would be deemed to be “underwriting compensation” as defined in Rule 5110 5110(j)(22) of FINRA’s Manual): (i) to any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (ii) to any person that, to the Company’s knowledge, has been accepted by FINRA as a member of FINRA (a “Member”); or (iii) to any person or entity that, to the Company’s knowledge, has any direct or indirect affiliation or association with any Member, within the FINRA Review Period, as defined in Rule 5110(j)(20) of the FINRA Manual, other than payments to the Underwriters pursuant to this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (Kadem Sustainable Impact Corp)