No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 49 contracts
Samples: Atomera Incorporated (Atomera Inc), Underwriting Agreement (Mobiquity Technologies, Inc.), Underwriting Agreement (Austin Gold Corp.)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the twelve (12-) month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 35 contracts
Samples: Underwriting Agreement (BullFrog AI Holdings, Inc.), Underwriting Agreement (BullFrog AI Holdings, Inc.), Underwriting Agreement (bioAffinity Technologies, Inc.)
No Fees. Except as disclosed to the Representative Underwriter in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 23 contracts
Samples: Underwriting Agreement (Hour Loop, Inc), Underwriting Agreement (Austin Gold Corp.), Underwriting Agreement (Cherokee Inc)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (iA) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (iiB) any FINRA member, or (iiiC) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the twelve (12-) month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 14 contracts
Samples: Underwriting Agreement (Kindly MD, Inc.), Underwriting Agreement (60 Degrees Pharmaceuticals, Inc.), Underwriting Agreement (RanMarine Technology B.V.)
No Fees. Except as disclosed to the Representative in writing, the The Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 11 contracts
Samples: Underwriting Agreement (Verdant Earth Technologies LTD), Underwriting Agreement (Falconstor Software Inc), Underwriting Agreement (Nocera, Inc.)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement initial Preliminary Prospectus was filed with the Commission (“Filing Date”) or thereafter.
Appears in 5 contracts
Samples: Underwriting Agreement (Eastside Distilling, Inc.), Underwriting Agreement (EnSync, Inc.), Underwriting Agreement (Fennec Pharmaceuticals Inc.)
No Fees. Except as disclosed to the Representative Underwriter in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement initial Preliminary Prospectus was filed with the Commission (“Filing Date”) or thereafter.
Appears in 5 contracts
Samples: Underwriting Agreement (Loop Industries, Inc.), Underwriting Agreement (Reed's, Inc.), Underwriting Agreement (Amtech Systems Inc)
No Fees. Except as disclosed to the Representative Representatives in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 5 contracts
Samples: Underwriting Agreement (Ocean Power Technologies, Inc.), Underwriting Agreement (Frankly Inc), Underwriting Agreement (Flux Power Holdings, Inc.)
No Fees. Except as disclosed to the Representative Underwriters in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 5 contracts
Samples: Underwriting Agreement (Biocept Inc), Underwriting Agreement (Biocept Inc), Underwriting Agreement (Myomo Inc)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (iA) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (iiB) any FINRA member, or (iiiC) any person or entity that has or had any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 3 contracts
Samples: Underwriting Agreement (Lovesac Co), Underwriting Agreement (Lovesac Co), Underwriting Agreement (Lovesac Co)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to to: (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, ; (ii) any FINRA member, ; or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 3 contracts
Samples: Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (iA) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (iiB) any FINRA member, or (iiiC) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 2 contracts
Samples: Underwriting Agreement (ACM Research, Inc.), Underwriting Agreement (ACM Research, Inc.)
No Fees. Except as disclosed to the Representative Underwriter in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month twelve (12)-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 2 contracts
Samples: Underwriting Agreement (Inuvo, Inc.), Underwriting Agreement (Inuvo, Inc.)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month twelve (12)-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 2 contracts
Samples: Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.)
No Fees. Except as disclosed to the Representative Underwriters in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company Company, or introducing to the Company to persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member member, in each case, within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 2 contracts
Samples: Underwriting Agreement (Mri Interventions, Inc.), Underwriting Agreement (Mri Interventions, Inc.)
No Fees. Except as disclosed in writing to the Representative in writingRepresentative, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 1 contract
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month twelve (12)-month period prior to the date on which the Registration Statement initial Preliminary Prospectus was filed with the Commission (“Filing Date”) or thereafter.
Appears in 1 contract
No Fees. Except as disclosed to the Representative Representatives in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the twelve (12-) month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 1 contract
Samples: Underwriting Agreement (Lixte Biotechnology Holdings, Inc.)
No Fees. Except as disclosed to the Representative in writing, the The Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing DateFilingDate”) or thereafter.
Appears in 1 contract
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafterof this Agreement.
Appears in 1 contract
No Fees. Except as disclosed to the Representative Placement Agent in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (i) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, (ii) any FINRA member, or (iii) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement Preliminary Prospectus was filed with the Commission (“Filing Date”) or thereafter.
Appears in 1 contract
Samples: Placement Agency Agreement (Ocean Power Technologies, Inc.)
No Fees. Except as disclosed to the Representative in writing, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to (iA) any person, as a finder’s fee, investing fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons who provided capital to the Company, ; (iiB) any FINRA member, ; or (iiiC) any person or entity that has any direct or indirect affiliation or association with any FINRA member within the 12-month period prior to the date on which the Registration Statement was filed with the Commission (“Filing Date”) or thereafter.
Appears in 1 contract
