Common use of No General Solicitation; Placement Agent’s Fees Clause in Contracts

No General Solicitation; Placement Agent’s Fees. None of the Company, any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and Bxxxxx, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 6 contracts

Samples: Notes Securities Purchase Agreement (Global Employment Holdings, Inc.), Preferred Stock Securities Purchase Agreement (Global Employment Holdings, Inc.), Notes Securities Purchase Agreement (Global Employment Holdings, Inc.)

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No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons Persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s attorneys’ fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxInternet Securities, LLC Inc. as placement agent (the “Placement Agent”) in connection with the sale of the Securities. The Company will also pay the Placement Agent an amount equal to ten percent (10%) of the aggregate gross proceeds raised in the Offering in cash and a fee five (5) year warrant to purchase ten percent (10%) of up to the Securities sold in the Offering (the “Placement Agent Warrant”). The Placement Agent Warrant shall have the same terms as the Warrant, except that the exercise price of the Placement Agent Warrant shall be One Dollar and Twenty Five Cents ($810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing1.25). Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 3 contracts

Samples: Securities Purchase And (New Oriental Energy & Chemical Corp.), Securities Purchase And (New Oriental Energy & Chemical Corp.), Securities Purchase And (New Oriental Energy & Chemical Corp.)

No General Solicitation; Placement Agent’s Fees. None of the Company, Parent, nor any of its their affiliates, or 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 Securities. The Company Parent shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons Persons engaged by any Buyer the Buyers or its their investment advisoradvisors) relating to or arising out of the transactions contemplated hereby. The Company Parent shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges and Parent acknowledge that it has they have engaged Rxxxxx & RxxxxxxXxxxxxxx Capital, LLC Inc. as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, neither the Company nor Parent has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Guardian 8 Holdings), Securities Purchase Agreement (Guardian 8 Holdings)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxXxxx Capital Partners, LLC as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (House of Taylor Jewelry, Inc.), Securities Purchase Agreement (House of Taylor Jewelry, Inc.)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxxxxxxx & RxxxxxxCo., LLC LLC, as placement agent (the “Agent”"PLACEMENT AGENT") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Raptor Networks Technology Inc), Securities Purchase Agreement (Raptor Networks Technology Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Banc of America Securities and Xxxxx & RxxxxxxXxxxxx, LLC Inc. as placement agent (collectively, the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Cano Petroleum, Inc), Securities Purchase Agreement (Cano Petroleum, Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Midtown Partners & RxxxxxxCo., LLC as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. Securities (the BxxxxxAgent) contemporaneously with the Closing). Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Jmar Technologies Inc), Securities Purchase Agreement (Jmar Technologies Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, the Bank nor any of its affiliatesAffiliates, or 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 SecuritiesSeries B Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer Purchaser or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer Purchaser harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxx, Xxxxxxxx & RxxxxxxXxxxx, LLC Inc. as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingSeries B Shares. Other than the Agent and BxxxxxAgent, neither the Company nor the Bank has not engaged any placement agent or other agent in connection with the sale of the SecuritiesSeries B Shares.

Appears in 2 contracts

Samples: Stock Purchase Agreement (Pacific Mercantile Bancorp), Stock Purchase Agreement (Pacific Mercantile Bancorp)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, the Bank nor any of its affiliatesAffiliates, or 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 SecuritiesCommon Stock Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer Purchaser or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer Purchaser harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxx, Xxxxxxxx & RxxxxxxXxxxx, LLC Inc. as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingCommon Stock Shares. Other than the Agent and BxxxxxAgent, neither the Company nor the Bank has not engaged any placement agent or other agent in connection with the sale of the SecuritiesCommon Stock Shares.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Pacific Mercantile Bancorp), Common Stock Purchase Agreement (Pacific Mercantile Bancorp)

No General Solicitation; Placement Agent’s Fees. None of the Company, Parent, nor any of its their affiliates, or 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 Securities. The Company Parent shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons Persons engaged by any Buyer the Buyers or its their investment advisoradvisors) relating to or arising out of the transactions contemplated hereby. The Company Parent shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges and Parent acknowledge that it has they have engaged Rxxxxx X. X. Xxxxxx & Rxxxxxx, LLC Company as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, neither the Company nor Parent has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (EnerJex Resources, Inc.), Securities Purchase Agreement (PRB Energy, Inc.)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliatesAffiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxxeach of GunnAllen Financial, Inc., Xxx Del Presto, Ehrenkrantz King Xxxxxxxx, Inc. and Xxxx Business Development, LLC as placement agent agents (the “Agent”"Placement Agents") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Wentworth Energy, Inc.), Securities Purchase Agreement (Wentworth Energy, Inc.)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any claim for such claimfees and commissions. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxXxxx Capital Partners, LLC and Xxxxx-Xxxxxx Capital Partners LLC as placement agent agents (the “AgentPlacement Agents”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (I Many Inc), Securities Purchase Agreement (I Many Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Xxxxx and Company as placement agent (the “Placement Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Earth Biofuels Inc), Securities Purchase Agreement (Earth Biofuels Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Midtown Partners & Rxxxxxx, Co. LLC as placement agent (the “Placement Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Stinger Systems, Inc), Securities Purchase Agreement (Stinger Systems, Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Lazard Freres & RxxxxxxCo. LLC, LLC BMO Capital Markets and Scotia Capital Inc. as placement agent agents (the “Agent”"Agents") in connection with the sale of the Securities. The Company will also pay a fee Securities (other than the issuance of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingExchanged Preferred Shares). Other than the Agent and BxxxxxAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities. No fees, commissions or other payments to any Person shall be made by the Company in connection with the exchange of the Buyer’s Existing Preferred Shares for the Exchanged Preferred Shares or the issuance of the Exchanged Preferred Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (TXCO Resources Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial and strategic advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxRoth Capital Partners, LLC as placement agent (the “Agent”"AGENT") in connection connexxxxn with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Form of Securities Purchase Agreement (Evci Career Colleges Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Xxxxxx Xxxxxx Partners as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ediets Com Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxXxxxxxx Research, LLC Inc. as exclusive placement agent (the “Placement Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Securities. The Company shall pay all stamp, transaction, and other taxes, fees or duties, if any, to which this Agreement and the Transaction Documents may be subject.

Appears in 1 contract

Samples: Securities Purchase Agreement (Adcare Health Systems Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxxx & RxxxxxxXxxxxxx, LLC as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Modtech Holdings Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 SecuritiesShares. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer Purchaser or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer Purchaser harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & RxxxxxxC.X. Xxxxxxxxx, LLC Towbin as placement agent (together the "Agent") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingShares. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesShares.

Appears in 1 contract

Samples: Series D Convertible Preferred Stock Purchase Agreement (BPO Management Services)

No General Solicitation; Placement Agent’s Fees. None Neither the Company or any of the Company, Subsidiaries or any of its affiliatestheir Affiliates, or 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 SecuritiesShares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisorthe Buyer) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each the Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has fee claimed by any placement agent, financial advisor or broker claiming to have been engaged Rxxxxx & Rxxxxxxby, LLC as placement agent (or to otherwise have been acting on the “Agent”) Company’s behalf, in connection with the sale transactions contemplated hereby. Neither the Company nor any of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and Bxxxxx, the Company Subsidiaries has not engaged any placement agent or other similar agent in connection with the sale of the Securities.Shares, other than Sandler X’Xxxxx & Partners, L.P.

Appears in 1 contract

Samples: Securities Purchase Agreement (Meta Financial Group Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, Txxxxx Wxxxxx Partners LLC and Canaccord Axxxx as placement agent agents (the “AgentPlacement Agents”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Answers CORP)

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No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 SecuritiesCommon Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxx & RxxxxxxXxxxxx, LLC Inc., X.X Xxxxxx & Company and Ladenburg Xxxxxxxx & Co., Inc. as placement agent agents (collectively, the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingCommon Shares. Other than the Agent and BxxxxxAgent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the SecuritiesCommon Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cano Petroleum, Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its Subsidiaries or affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Xxxxxx & RxxxxxxXxxxxxx, LLC as placement agent (the "Agent") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, neither the Company nor any of its Subsidiaries has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (China XD Plastics Co LTD)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Xxxx Xxxxx Financial Inc. as placement agent (the “Agent”"AGENT") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (LOCAL.COM)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliatesAffiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Mxxxxxx Lxxxx & RxxxxxxCo., LLC Inc. as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Toreador Resources Corp)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Xxxxxxx Securities as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with Preferred Shares and the ClosingWarrants. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesPreferred Shares, the AIR and the Warrants.

Appears in 1 contract

Samples: Securities Purchase Agreement (Integrated Biopharma Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Midtown Partners & RxxxxxxCo., LLC as placement agent (the “Placement Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Stinger Systems, Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx Trudeau & Rxxxxxx, LLC Trudeau Associates Inc. as placement agent (the “Agent”"Agexx") in connection xn xxxxxxxion with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Advanced Photonix Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions commission (other than for persons engaged by any Buyer Investor or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Buyer Investor harmless against, any liability, loss or expense (including, without limitation, attorney’s reasonable attorneys’ fees and out-of-pocket expenses) arising in connection with any such claimclaim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that it has engaged Rxxxxx XX Xxxxx & RxxxxxxCo., LLC has been engaged as lead placement agent (the “Agent”) and that Xxxxxxxxxx & Co., LLC will serve as co-agent in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and Bxxxxx, the Company has not engaged any other placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Infosonics Corp)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Xxxxx and Company as placement agent (the "Placement Agent") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the Closing. Other than the Agent and BxxxxxPlacement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Bravo Foods International Corp)

No General Solicitation; Placement Agent’s Fees. None of the Company, the Guarantors, any of its affiliates, or their respective affiliates and 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons Persons engaged by any Buyer or its investment advisorBuyer) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable and documented attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx XX Xxxxxx Securities, Inc., Xxxxxx Xxxxxxx & RxxxxxxCo. Incorporated and Xxxxxxx Lynch, LLC Pierce, Xxxxxx & Xxxxx Inc. as placement agent agents (each an "AGENT" and, collectively, the “Agent”"AGENTS") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with Notes and the ClosingWarrants. Other than the Agent and BxxxxxAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Clearwire Corp)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it is has engaged Rxxxxx X.X. Xxxxxxx & Rxxxxxx, LLC Sons’ as placement agent (the “Agent”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingNotes. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesNotes.

Appears in 1 contract

Samples: Securities Purchase Agreement (Epiq Systems Inc)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, nor any of its affiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commissions (other than for persons engaged by any Buyer or its investment advisor) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim. The Company acknowledges that it has engaged Rxxxxx & Rxxxxxx, LLC Sunrise Securities Corporation as placement agent (the “Agent”"AGENT") in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with the ClosingPreferred Shares, Warrants and Additional Investment Rights. Other than the Agent and BxxxxxAgent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesPreferred Shares, Warrants and Additional Investment Rights.

Appears in 1 contract

Samples: Securities Purchase Agreement (Dendo Global Corp)

No General Solicitation; Placement Agent’s Fees. None of Neither the Company, any of its affiliatesAffiliates, or 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 Securities. The Company shall be responsible for the payment of any placement agent’s fees’s, financial advisory fees, or brokers’ commissions fees (other than for persons engaged by any Buyer Investor or its investment advisor) relating to or arising out of the transactions contemplated herebyissuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Buyer Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claimclaim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that it uBid has engaged Rxxxxx XX Xxxxx & RxxxxxxCo., LLC as the lead placement agent and Think Equity Partners LLC as a co-agent (the “AgentPlacement Agents”) in connection with the sale of the Securities. The Company will also pay a fee of up to $810,000 to Exxxx Xxxxxx & Co. (“Bxxxxx”) contemporaneously with Securities by the ClosingCompany. Other than the Agent and BxxxxxPlacement Agents, neither the Company nor uBid has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cape Coastal Trading Corp)

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