Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 36 contracts
Samples: Underwriting Agreement (Haoxin Holdings LTD), Underwriting Agreement (Li Bang International Corp Inc.), Underwriting Agreement (Haoxin Holdings LTD)
Payments Within Twelve Months. Except for payments made to the Representative and except as described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 14 contracts
Samples: Underwriting Agreement (BK Technologies Corp), Underwriting Agreement (Ballantyne Strong, Inc.), Underwriting Agreement (Medigus Ltd.)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 11 contracts
Samples: Underwriting Agreement (SurgePays, Inc.), Underwriting Agreement (OMNIQ Corp.), Underwriting Agreement (Cel Sci Corp)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 10 contracts
Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.)
Payments Within Twelve Months. Except for payments made to the Placement Agent and except as described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 10 contracts
Samples: Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.)
Payments Within Twelve Months. Except as may be described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 9 contracts
Samples: Underwriting Agreement (Kaspien Holdings Inc.), Underwriting Agreement (Avinger Inc), Underwriting Agreement (Avinger Inc)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to the Company’s knowledge, to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 9 contracts
Samples: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Karat Packaging Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries Controlled Entities has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 5 contracts
Samples: Underwriting Agreement (UTime LTD), Underwriting Agreement (UTime LTD), Underwriting Agreement (UTime LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none None of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; member participating in the offering as defined in FINRA Rule 5110(j)(15) (“Participating FINRA Member”); or (C) any person or entity that has any direct or indirect affiliation or association with any Participating FINRA memberMember, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Lobo Ev Technologies LTD), Underwriting Agreement (Lobo Ev Technologies LTD), Underwriting Agreement (Prime Skyline LTD)
Payments Within Twelve Months. Except as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 3 contracts
Samples: Placement Agent Agreement (Endurance Exploration Group, Inc.), Placement Agreement (Hebron Technology Co., LTD), Placement Agreement (Hebron Technology Co., LTD)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Prospectus, none None of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (J-Star Holding Co., Ltd.), Underwriting Agreement (J-Star Holding Co., Ltd.), Underwriting Agreement (Elite Education Group International LTD)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than advances to cover expenses of the Placement Agent, and payment to the Underwriters Placement Agent as provided hereunder in connection with the Offering.
Appears in 3 contracts
Samples: Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD)
Payments Within Twelve Months. Except as described disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to immediately preceding the Effective Dateoriginal filing date of the Registration Statement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD)
Payments Within Twelve Months. Except as described in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 3 contracts
Samples: Underwriter Agreement (Dogness (International) Corp), Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than advances to cover expenses of the Representative, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Tantech Holdings LTD), Underwriting Agreement (Tantech Holdings LTD)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than advances to cover expenses of the Underwriters, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the ProspectusProspectus and except as set forth on Schedule 2.19 hereto, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Photomedex Inc), Underwriting Agreement (Photomedex Inc)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (China Education, Inc), Underwriting Agreement (China Education, Inc)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement, the Statutory Prospectus and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (WhiteSmoke, Inc.), Underwriting Agreement (WhiteSmoke, Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Registration Statement, Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment to the Underwriters Representative as provided hereunder in connection with the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (Gaucho Group Holdings, Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to the Company’s knowledge, to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package and the Final Prospectus, none of the Company or its Subsidiaries has made any direct or indirect payments (in cash, securities or otherwise) to: (A) any person, as a finder’s fee, investing fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; (B) any FINRA member; or (C) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months month period prior to the Effective Datedate on which the Registration Statement was initially filed with the Commission, or thereafter, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (OMS Energy Technologies Inc.)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the ProspectusProspectus and except as set forth on Schedule 2.19 hereto, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of $[ ] to Xxxxxx & Xxxxxxx, LLC, the Underwriters Representative, as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than advances to cover expenses of the Representatives, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to the Company’s knowledge, to any FINRA member; member; or (Ciii) to the Company’s knowledge, to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment prior payments to the Underwriters Underwriter as provided hereunder in connection with the Offering...
Appears in 1 contract
Samples: Underwriting Agreement (Uni-Pixel)
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) to the Company’s knowledge, any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Registration Statement and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the prior payment of $[__________] to Xxxxxx & Xxxxxxx LLC, the Representative, and payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (Skystar Bio-Pharmaceutical Co)
Payments Within Twelve Months. Except as described in the, Registration Statement, the Pricing Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package Package, and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities securities, or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee fee, or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) in connection with the Offering to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months immediately prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve (12) months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (Immuron LTD)
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Time of Sale Disclosure Package and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person person’s raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) to any FINRA member; member; or (Ciii) to any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than advances to cover expenses of the Underwriter, and payment to the Underwriters Underwriter as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Registration Statement, the Disclosure Package Package, and the Prospectus, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Datedate of this Agreement, other than the payment to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in each Preliminary Prospectus, the Pricing Disclosure Package Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) to the Company’s knowledge, any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Payments Within Twelve Months. Except as described in the Pricing Disclosure Package Preliminary Prospectus, the Prospectus and the ProspectusRegistration Statement, none of the Company or its Subsidiaries has not made any direct or indirect payments (in cash, securities or otherwise) to: (Ai) any person, as a finder’s 's fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who raised or provided capital to the Company; Company; (Bii) any FINRA member; member; or (Ciii) to the Company's knowledge, any person or entity that has any direct or indirect affiliation or association with any FINRA member, within the twelve months prior to the Effective Date, other than the payment payments to the Underwriters as provided hereunder in connection with the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (Cognition Therapeutics Inc)