No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Viewpoint Corp), Securities Purchase Agreement (Viewpoint Corp)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digital Recorders Inc), Securities Purchase Agreement (Millennium Cell Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or offer, issuance and sale of the Common SharesSecurities. The Neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the offer and sale of any of the Common SharesSecurities contemplated by the Transaction Documents.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cyclacel Pharmaceuticals, Inc.)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Lakes Entertainment Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common Shares.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalfbehalf (other than the Agent), has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent Shares or other agent in connection with the sale of the Common SharesWarrants.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Securities Purchase Agreement (NPS Pharmaceuticals Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries and affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Purchase Agreement (DSL Net Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Cyber Supply Inc.)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Other than with respect to an affiliate of the Buyer, the Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cheetah Oil & Gas Ltd.)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale issuance of the Common SharesShares or the transactions contemplated herein.
Appears in 1 contract
Samples: Series F Convertible Preferred Stock Issuance Agreement (BPO Management Services)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Company Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has not engaged or otherwise hired any placement agent agent, financial advisor or other agent broker (collectively, a "Placement Agent") in connection with the sale of the Common Sharestransactions contemplated hereby.
Appears in 1 contract
Samples: Securities Purchase Agreement (Adept Technology Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesNotes. The No broker has acted on behalf of the Company has not engaged any placement agent or other agent in connection with this Agreement, and there are no brokerage commissions, finders’ fees or similar fees or commissions payable in connection therewith based on any agreement, arrangement or understanding with the sale of Company or any action taken by the Common SharesCompany.
Appears in 1 contract
Samples: Securities Purchase Agreement (Antigenics Inc /De/)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (BLVD Holdings Inc)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, Company nor any Person acting on its or their the Company’s behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Company has not engaged any placement agent agent, financial advisor or other agent in connection with the sale or issuance of the Common Shares.
Appears in 1 contract
Samples: Subscription and Registration Rights Agreement (Endeavour International Corp)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor nor, to the Company’s knowledge, any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Touchstone Resources Usa, Inc.)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, including, without limitation, any Person related to Purchaser, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesPreferred Shares and Warrants.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither Except as disclosed on Schedule 4(z), neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common Shares.the
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither the Seller, Company, nor any of its affiliatesor their subsidiaries or Affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation DD under the 1000 Xxx) in connection with the offer or sale of the Common Shares. The Company has not engaged any placement agent or other agent in connection with the sale of the Common Shares.
Appears in 1 contract
Samples: Stock Purchase Agreement (Lm Funding America, Inc.)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the offer or sale of the Common SharesSecurities.
Appears in 1 contract
Samples: Securities Purchase Agreement (eHi Car Services LTD)
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Other than engaging Banc of America Securities LLC as placement agent (the "AGENT"), the Company has not engaged any placement agent or other agent in connection with the sale of the Common SharesNotes and the Warrants.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its Subsidiaries or affiliates, nor any Person acting on its or their behalf, including, without limitation, any Person related to Buyer, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
No General Solicitation; Placement Agent’s Fees. Neither of the CompanyCompanies, nor any of its their affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Common SharesSecurities. The Company Neither of the Companies nor any of their Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Common SharesSecurities.
Appears in 1 contract
