CONFIDENTIAL Authentidate Holding Corp.Authentidate Holding Corp • October 13th, 2011 • Services-computer integrated systems design • New York
Company FiledOctober 13th, 2011 Industry Jurisdiction
LETTERHEAD OF RODMAN & RENSHAW, LLC]Biolase Technology Inc • April 12th, 2011 • Dental equipment & supplies • New York
Company FiledApril 12th, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and BIOLASE Technology, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement s
CONFIDENTIAL China Valves Technology, Inc. Attn: Mr. Siping Fang, Chairman. Dear Mr. Fang:China Valves Technology, Inc • January 6th, 2011 • Miscellaneous fabricated metal products • New York
Company FiledJanuary 6th, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China Valves Technology, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including 1,000,000 shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock” at a price of $10.00 per Share for aggregate gross proceeds to the Company of approximately $10,000,000 along with short term six month common stock purchase warrants (“Warrants”) to purchase up to, in the aggregate, an additional 250,000 shares of Common Stock at an exercise price of $10.00 per share. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and n
CONFIDENTIALChina Integrated Energy, Inc. • January 4th, 2011 • Petroleum refining • New York
Company FiledJanuary 4th, 2011 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China Integrated Energy, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement, in one or more tranches, (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed an
CONFIDENTIALChina Integrated Energy, Inc. • December 29th, 2010 • Petroleum refining • New York
Company FiledDecember 29th, 2010 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China Integrated Energy, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement, in one or more tranches, (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed an
Execution VersionCAMAC Energy Inc. • December 23rd, 2010 • Drilling oil & gas wells • New York
Company FiledDecember 23rd, 2010 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and CAMAC Energy Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), along with common stock purchase warrants (“Warrants”) to purchase Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and de
STRICTLY CONFIDENTIALPacific Asia Petroleum Inc • March 3rd, 2010 • Drilling oil & gas wells • New York
Company FiledMarch 3rd, 2010 Industry Jurisdiction
STRICTLY CONFIDENTIALPacific Asia Petroleum Inc • February 10th, 2010 • Drilling oil & gas wells • New York
Company FiledFebruary 10th, 2010 Industry Jurisdiction
CONFIDENTIAL China Valves Technology, Inc. Attn: Mr. Siping Fang, Chairman and C.E.O. Dear Mr. Fang:China Valves Technology, Inc • December 29th, 2009 • Miscellaneous fabricated metal products • New York
Company FiledDecember 29th, 2009 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China Valves Technology, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including 333,334 shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock” at a price of $9.00 per Share for aggregate gross proceeds to the Company of approximately $3,000,000 along with a short term 30-day common stock purchase warrants (“Warrants”) to purchase up to, in the aggregate, an additional $450,000 of Common Stock at a price of $9.00. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that R
CONFIDENTIALChina Green Agriculture, Inc. • November 23rd, 2009 • Agricultural chemicals • New York
Company FiledNovember 23rd, 2009 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and China Green Agriculture, Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a reasonable best efforts basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”) for aggregate gross proceeds to the Company of approximately $25 million. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. Provided that the Placement Agent shall place
CONFIDENTIAL Mr. Terren S. Peizer Chairman and Chief Executive Officer Hythiam Inc. 11150 Santa Monica Boulevard Suite 1500 Los Angeles, CA 90025 Dear Mr. Peizer:Hythiam Inc • September 18th, 2009 • Services-misc health & allied services, nec • New York
Company FiledSeptember 18th, 2009 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and Hythiam Inc. (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purcha
CONFIDENTIALPure Bioscience • September 2nd, 2009 • Miscellaneous chemical products • New York
Company FiledSeptember 2nd, 2009 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and PURE Bioscience (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement (the “Placement”) of registered securities (the “Securities”) of the Company, including shares (the “Shares”) of the Company’s common stock, no par value per share (the “Common Stock”) and warrants to purchase shares of Common Stock. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein constitutes that Rodman would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchase
CONFIDENTIAL PacWest Bancorp 10250 Constellation Blvd, Suite 1640 Los Angeles, CA 90067 Dear Sirs:Pacwest Bancorp • August 27th, 2009 • National commercial banks • New York
Company FiledAugust 27th, 2009 Industry JurisdictionThis letter (the “Agreement”) constitutes the agreement between Rodman & Renshaw, LLC (“Rodman” or the “Placement Agent”) and PacWest Bancorp (the “Company”), that Rodman shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement, to close no later than August 28, 2009 (the “Placement”), of registered securities of the Company, consisting of shares (the “Shares”) of the Company’s common stock, par value $0.01 per share (the “Common Stock”), warrants to purchase shares of Common Stock (the “Warrants”) and the shares of Common Stock issuable upon exercise of the Warrants (together with the Shares and the Warrants, the “Securities”). The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and, collectively, the “Purchasers”) and Rodman shall not, and nothing herein implies that Rodman would, have the power or authority to bind the C
CONFIDENTIAL Avtar Dhillon, MD President and Chairman of the Board Inovio Biomedical CorporationInovio Biomedical Corp • July 30th, 2009 • Surgical & medical instruments & apparatus • New York
Company FiledJuly 30th, 2009 Industry Jurisdiction
CONFIDENTIAL Hecla Mining CompanyHecla Mining Co/De/ • December 11th, 2008 • Mining & quarrying of nonmetallic minerals (no fuels) • New York
Company FiledDecember 11th, 2008 Industry Jurisdiction