SUBJECT TO MAXIM GROUP COMMITMENT COMMITTEE APPROVALCapnia, Inc. • July 6th, 2016 • Electromedical & electrotherapeutic apparatus • New York
Company FiledJuly 6th, 2016 Industry JurisdictionThis letter confirms our agreement that Capnia, Inc., a Delaware corporation (collectively with its owned or controlled subsidiaries, the “Company”) has engaged Maxim Group LLC (together with its affiliates and subsidiaries, the “Placement Agent”) to act as the Company’s exclusive Placement Agent in connection with the Company’s proposed private placement (the “Offering”) of equity or equity-linked securities (the “Securities”) of the Company. The precise terms of the Securities and the gross proceeds of such Offering will be negotiated between the Placement Agent and the Company with one or more Investors (as defined below).
SUBJECT TO MAXIM GROUP COMMITMENT COMMITTEE APPROVALCapnia, Inc. • October 15th, 2015 • Electromedical & electrotherapeutic apparatus • New York
Company FiledOctober 15th, 2015 Industry JurisdictionThis letter confirms our agreement that Capnia, Inc., a Delaware corporation (collectively with its owned or controlled subsidiaries, the “Company”) has engaged Maxim Group LLC (together with its affiliates and subsidiaries, the “Placement Agent”) to act as the Company’s exclusive Placement Agent in connection with the Company’s proposed private placement (the “Offering”) of equity or equity-linked securities (the “Securities”) of the Company. The precise terms of the Securities and the gross proceeds of such Offering will be negotiated between the Placement Agent and the Company with one or more Investors (as defined below).
February 25, 2014 Dr. Augustine Cheung Founder, CEO & President Medifocus, Inc. The Exchange Tower, Suite 1800, Toronto, ON M5X1E3Medifocus Inc. • September 17th, 2014 • Surgical & medical instruments & apparatus • New York
Company FiledSeptember 17th, 2014 Industry JurisdictionThis letter confirms our agreement that Medifocus, Inc., a corporation incorporated under the Business Corporations Act (Ontario) (collectively with its owned or controlled subsidiaries, the “Company”) has engaged Maxim Group LLC (together with its affiliates and subsidiaries, the “Placement Agent”) to act as the Company’s exclusive Placement Agent in connection with the Company’s proposed private placement (the “Offering”) of equity or equity linked securities (the “Securities”) of the Company. The precise terms of the Securities and the gross proceeds of such Offering will be negotiated between the Placement Agent and the Company with one or more Investors (as defined below), it being understood that the gross proceeds of the Offering will be up to $10 million.
February 25, 2014 Dr. Augustine Cheung Founder, CEO & President Medifocus, Inc. The Exchange Tower, Suite 1800, Toronto, ON M5X1E3Medifocus Inc. • April 2nd, 2014 • New York
Company FiledApril 2nd, 2014 JurisdictionThis letter confirms our agreement that Medifocus, Inc., a corporation incorporated under the Business Corporations Act (Ontario) (collectively with its owned or controlled subsidiaries, the “Company”) has engaged Maxim Group LLC (together with its affiliates and subsidiaries, the “Placement Agent”) to act as the Company’s exclusive Placement Agent in connection with the Company’s proposed private placement (the “Offering”) of equity or equity linked securities (the “Securities”) of the Company. The precise terms of the Securities and the gross proceeds of such Offering will be negotiated between the Placement Agent and the Company with one or more Investors (as defined below), it being understood that the gross proceeds of the Offering will be up to $10 million.