Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 16 contracts
Samples: Underwriting Agreement (Pivotal Investment Corp II), Underwriting Agreement (Pivotal Investment Corp II), Underwriting Agreement (Pivotal Acquisition Corp)
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 11 contracts
Samples: Underwriting Agreement (Collabrium Japan Acquisition Corp), Underwriting Agreement (BGS Acquisition Corp.), Underwriting Agreement (BGS Acquisition Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an, “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 7 contracts
Samples: Placement Agency Agreement (TDH Holdings, Inc.), Placement Agency Agreement (TDH Holdings, Inc.), Placement Agency Agreement (Aditxt, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 7 contracts
Samples: Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (S.E. Asia Emerging Market Company., LTD)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp)
Transactions Affecting Disclosure to Finra. 2.17.1 2.20.1. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company Company, the Subsidiary or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its shareholders that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 5 contracts
Samples: Underwriting Agreement (Modular Medical, Inc.), Underwriting Agreement (Modular Medical, Inc.), Underwriting Agreement (Movano Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 5 contracts
Samples: Placement Agency Agreement (Senmiao Technology LTD), Placement Agency Agreement (Luokung Technology Corp.), Placement Agency Agreement (Luokung Technology Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an, “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 4 contracts
Samples: Placement Agency Agreement (WiMi Hologram Cloud Inc.), Placement Agency Agreement (MingZhu Logistics Holdings LTD), Placement Agency Agreement (MingZhu Logistics Holdings LTD)
Transactions Affecting Disclosure to Finra. 2.17.1 (i) No Finder’s FeesFee. There are no claims, payments, arrangementsissuances, agreements arrangements or understandings relating to for services in the payment nature of a finder’s, consulting or origination fee by the Company or any Insider with respect to the introduction of the Company to any Underwriter or the sale of the Firm Securities hereunder or or, except as contemplated in this Agreement, any other arrangements, agreements agreements, understandings, payments or understandings of issuances with respect to the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 4 contracts
Samples: Placement Agency Agreement (Xiao-I Corp), Placement Agency Agreement (SunCar Technology Group Inc.), Placement Agency Agreement (China Natural Resources Inc)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each, an “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 4 contracts
Samples: Placement Agency Agreement (Luokung Technology Corp.), Placement Agency Agreement (EZGO Technologies Ltd.), Placement Agency Agreement (EZGO Technologies Ltd.)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Fintech Acquisition Corp. II), Underwriting Agreement (Fintech Acquisition Corp. II), Underwriting Agreement (FinTech Acquisition Corp)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 4 contracts
Samples: Placement Agency Agreement (Datasea Inc.), Placement Agency Agreement (Blue Hat Interactive Entertainment Technology), Placement Agency Agreement (Luokung Technology Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 (1) No Finder’s FeesFee. There are no claims, payments, arrangementsissuances, agreements arrangements or understandings relating to for services in the payment nature of a finder’s, consulting or origination fee by the Company or any Insider with respect to the introduction of the Company to any Underwriter or the sale of the Securities Shares hereunder or or, except as contemplated in this Agreement, any other arrangements, agreements agreements, understandings, payments or understandings of issuances with respect to the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Digirad Corp), Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (BioNano Genomics, Inc)
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider Existing Stockholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider Existing Stockholder that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 (1) No Finder’s FeesFee. There are no claims, payments, arrangementsissuances, agreements arrangements or understandings relating to for services in the payment nature of a finder’s, consulting or origination fee by the Company or any Insider with respect to the introduction of the Company to any Underwriter or the sale of the Public Securities hereunder or or, except as contemplated in this Agreement, any other arrangements, agreements agreements, understandings, payments or understandings of issuances with respect to the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (BioNano Genomics, Inc)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an, “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ Placement Agent’s compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Sonoma Pharmaceuticals, Inc.), Placement Agency Agreement (Sonoma Pharmaceuticals, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 2.20.1. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (SOBR Safe, Inc.), Underwriting Agreement (SOBR Safe, Inc.), Underwriting Agreement (SOBR Safe, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 3 contracts
Samples: Form Placement Agency Agreement (Lucas GC LTD), Placement Agency Agreement (SunCar Technology Group Inc.), Placement Agency Agreement (Dogness (International) Corp)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (M III Acquisition Corp.), Underwriting Agreement (JM Global Holding Co), Underwriting Agreement (JM Global Holding Co)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each an, “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ Placement Agent’s compensation, as determined by FINRA.
Appears in 2 contracts
Samples: Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Sigma Labs, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its shareholders.
Appears in 2 contracts
Samples: Placement Agency Agreement (ICZOOM Group Inc.), Placement Agency Agreement (Global Mofy Metaverse LTD)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 2 contracts
Samples: Placement Agency Agreement (Cheetah Net Supply Chain Service Inc.), Placement Agency Agreement (Cheetah Net Supply Chain Service Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 (1) No Finder’s FeesFee. There are no claims, payments, arrangementsissuances, agreements arrangements or understandings relating to for services in the payment nature of a finder’s, consulting or origination fee by the Company or any Insider with respect to the introduction of the Company to any Underwriter or the sale of the Securities hereunder or or, except as contemplated in this Agreement, any other arrangements, agreements agreements, understandings, payments or understandings of issuances with respect to the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Med-X, Inc.), Underwriting Agreement (Troika Media Group, Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 2.21.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting consulting, origination, or origination fee similar fees by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its shareholders that may affect the Underwriters’ compensation, as determined by FINRA, or that may be contrary to FINRA rules and regulations.
Appears in 2 contracts
Samples: Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc)
Transactions Affecting Disclosure to Finra. 2.17.1 2.20.1. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company Company, any Subsidiary or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its shareholders that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Gain Therapeutics, Inc.), Underwriting Agreement (ENDRA Life Sciences Inc.)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Quinpario Acquisition Corp.), Underwriting Agreement (Quinpario Acquisition Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 1 contract
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other similar arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 1 contract
Samples: Placement Agency Agreement (Luokung Technology Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming after reasonable inquiry, any Insider Insider, that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (E-Compass Acquisition Corp.)
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each, an “Insider”) with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its stockholders.
Appears in 1 contract
Samples: Color Star Technology Co., Ltd.
Transactions Affecting Disclosure to Finra. 2.17.1 2.20.1. Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Primary Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 1 contract
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company (each, an "Insider") with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider of its stockholders that may affect the Underwriters’ Placement Agent's compensation, as determined by FINRA.
Appears in 1 contract
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1 Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider Existing Stockholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider Existing Stockholder that may affect the Underwriters’ ' compensation, as determined by FINRA.
Appears in 1 contract
Transactions Affecting Disclosure to Finra. 2.17.1 i. Finder’s 's Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s's, consulting or origination fee by the Company or any Insider executive officer or director of the Company with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or or, to the Company’s 's knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRAof its shareholders.
Appears in 1 contract
Samples: Placement Agency Agreement (Global Mofy Metaverse LTD)
Transactions Affecting Disclosure to Finra. 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company Company, the Security Corp or any Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company Company, the Security Corp or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 1 contract
Transactions Affecting Disclosure to Finra. 2.17.1 2.18.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Collabrium Japan Acquisition Corp)