Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 740 contracts
Samples: Securities Purchase Agreement (SuperCom LTD), Securities Purchase Agreement (Bio-Path Holdings, Inc.), Securities Purchase Contract (Nano Labs LTD)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 273 contracts
Samples: Securities Purchase Agreement (Trio Petroleum Corp.), Securities Purchase Agreement (Marpai, Inc.), Securities Purchase Agreement (Trio Petroleum Corp.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 125 contracts
Samples: Securities Purchase Agreement (Tantech Holdings LTD), Securities Purchase Agreement (IMAC Holdings, Inc.), Securities Purchase Agreement (Windtree Therapeutics Inc /De/)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 92 contracts
Samples: Securities Purchase Agreement (U.S. Gold Corp.), Securities Purchase Agreement (GT Biopharma, Inc.), Securities Purchase Agreement (Parkervision Inc)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Company Covered PersonPerson or Underwriter) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 77 contracts
Samples: Underwriting Agreement (GP-Act III Acquisition Corp.), Underwriting Agreement (FinTech Acquisition Corp. IV), Underwriting Agreement (M3-Brigade Acquisition II Corp.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 43 contracts
Samples: Form of Securities Purchase Agreement (Evofem Biosciences, Inc.), Securities Purchase Agreement (Globus Maritime LTD), Securities Purchase Agreement (Biotricity Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 41 contracts
Samples: Securities Purchase Agreement (Inventergy Global, Inc.), Securities Purchase Agreement (Acorn Energy, Inc.), Securities Purchase Agreement (Capnia, Inc.)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 35 contracts
Samples: Securities Purchase Agreement (Benitec Biopharma Inc.), Form of Securities Purchase Agreement (Village Farms International, Inc.), Securities Purchase Agreement (Biolase, Inc)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 28 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (1847 Holdings LLC), Securities Purchase Agreement (Intrusion Inc)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 25 contracts
Samples: Securities Purchase Agreement (Unique Fabricating, Inc.), Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (BBQ Holdings, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 22 contracts
Samples: Note Purchase Agreement (Qrons Inc.), Note Purchase Agreement (Grom Social Enterprises, Inc.), Note Purchase Agreement (Verde Bio Holdings, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 17 contracts
Samples: Securities Purchase Agreement (BTCS Inc.), Securities Purchase Agreement (Probility Media Corp), Securities Purchase Agreement (GridIron BioNutrients, Inc.)
Other Covered Persons. Other than the Placement AgentA.G.P., the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 17 contracts
Samples: Securities Purchase Agreement (Super League Gaming, Inc.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Verb Technology Company, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered PersonPerson or the Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 15 contracts
Samples: Securities Purchase Agreement (Vocodia Holdings Corp), Securities Purchase Agreement (Mitesco, Inc.), Securities Purchase Agreement (Vitro Biopharma, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 15 contracts
Samples: Securities Purchase Agreement (electroCore, Inc.), Securities Purchase Agreement (Duos Technologies Group, Inc.), Securities Purchase Agreement (Eightco Holdings Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Investor in connection with the sale of any Regulation D Securities.
Appears in 11 contracts
Samples: Common Stock Purchase Agreement (Bubblr Inc.), Common Stock Purchase Agreement (TRxADE HEALTH, INC), Ordinary Share Purchase Agreement (Molecular Data Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Securities.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Ener-Core, Inc.), Securities Purchase Agreement (Ener-Core, Inc.), Securities Purchase Agreement (Ener-Core, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Company Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 9 contracts
Samples: Underwriting Agreement (Electrum Special Acquisition Corp), Underwriting Agreement (PMV Acquisition Corp.), Underwriting Agreement (Electrum Special Acquisition Corp)
Other Covered Persons. Other than the Placement AgentA.G.P., the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Verb Technology Company, Inc.), Securities Purchase Agreement (Tanzanian Gold Corp), Securities Purchase Agreement (Tanzanian Gold Corp)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Purchasers in connection with the sale of any Securities. (oo) Private Placement. Assuming the accuracy of the Purchasers’ representations and warranties set forth in Section 3.2, no registration under the Securities Act is required for the offer and sale of the Shares or Warrants by the Company to the Purchasers as contemplated hereby.
Appears in 8 contracts
Samples: Securities Purchase Agreement (G Medical Innovations Holdings Ltd.), Securities Purchase Agreement (G Medical Innovations Holdings Ltd.), Securities Purchase Agreement (G Medical Innovations Holdings Ltd.)
Other Covered Persons. Other than the Placement Agentplacement agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Creatd, Inc.), Securities Purchase Agreement (Creatd, Inc.), Securities Purchase Agreement (Creatd, Inc.)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Biolase, Inc), Securities Purchase Agreement (Biolase, Inc), Securities Purchase Agreement (Biolase, Inc)
Other Covered Persons. Other than the Placement AgentFinancial Advisor, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (XpresSpa Group, Inc.), Securities Purchase Agreement (Singing Machine Co Inc), Securities Purchase Agreement (XpresSpa Group, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Purchasers or potential purchasers in connection with the sale of any the Securities.
Appears in 6 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Precipio, Inc.), Securities Purchase Agreement (Transgenomic Inc)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Eyegate Pharmaceuticals Inc), Securities Purchase Agreement (Northwest Biotherapeutics Inc), Securities Purchase Agreement (Galectin Therapeutics Inc)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Safety Shot, Inc.), Securities Purchase Agreement (Scientific Industries Inc)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Mela Sciences, Inc. /Ny), Securities Purchase Agreement (Histogenics Corp), Securities Purchase Agreement (Real Goods Solar, Inc.)
Other Covered Persons. Other than the Placement Agent], the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (theMaven, Inc.)
Other Covered Persons. Other than the Placement AgentAgent and The Benchmark Company, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Sg Blocks, Inc.), Securities Purchase Agreement (Presidio Property Trust, Inc.), Securities Purchase Agreement (Cinedigm Corp.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesRegulation D Shares.
Appears in 5 contracts
Samples: Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), And Restated Share Purchase Agreement (NovaBay Pharmaceuticals, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Trio Petroleum Corp.), Securities Purchase Agreement (Trio Petroleum Corp.), Securities Purchase Agreement (Trio Petroleum Corp.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securitiesthe Notes.
Appears in 5 contracts
Samples: Placement Agency Agreement (Air Industries Group), Placement Agency Agreement (Air Industries Group), Placement Agency Agreement (Air Industries Group)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered PersonSelling Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers Investors or potential Investors in connection with the sale of any of the 506 Securities.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Modular Medical, Inc.), Common Stock Purchase Agreement (Modular Medical, Inc.), Securities Purchase Agreement (Prometheum, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent or as described on Schedule 3(g)) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Helios & Matheson Analytics Inc.), Securities Purchase Agreement (Helios & Matheson Analytics Inc.), Securities Purchase Agreement (Helios & Matheson Analytics Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered PersonPerson and the Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Taronis Fuels, Inc.), Securities Purchase Agreement (GreenBox POS), Securities Purchase Agreement (Inpixon)
Other Covered Persons. Other than the Placement Agent, the Company It is not aware of any person (other than any Issuer Covered Person or Placement Agent Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 4 contracts
Samples: ViewRay, Inc., ViewRay, Inc., Miramar Labs, Inc.
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation on behalf of the Company of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (PAVmed Inc.), Securities Purchase Agreement (Grove, Inc.), Securities Purchase Agreement (PAVmed Inc.)
Other Covered Persons. Other than the Placement Agent, A.G.P. and the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Orbital Energy Group, Inc.), Securities Purchase Agreement (Genprex, Inc.), Securities Purchase Agreement (Genprex, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any the person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Vision Marine Technologies Inc.), Securities Purchase Agreement (Vision Marine Technologies Inc.), Securities Purchase Agreement (Vision Marine Technologies Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Cocrystal Pharma, Inc.), Securities Purchase Agreement (Summit Wireless Technologies, Inc.), Securities Purchase Agreement (Cocrystal Pharma, Inc.)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 3 contracts
Samples: Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (Crinetics Pharmaceuticals, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Investor in connection with the sale of any the Exchange Securities.
Appears in 3 contracts
Samples: Amendment and Exchange Agreement (ShiftPixy, Inc.), Amendment and Exchange Agreement (ShiftPixy, Inc.), Exchange Agreement (ShiftPixy, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (rr)
Appears in 3 contracts
Samples: Securities Purchase Agreement (Kineta, Inc./De), Securities Purchase Agreement (Eledon Pharmaceuticals, Inc.), Securities Purchase Agreement (Arcadia Biosciences, Inc.)
Other Covered Persons. Other Except as set forth on Schedule 3.2(qq), other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Tenax Therapeutics, Inc.), Securities Purchase Agreement (Tenax Therapeutics, Inc.), Securities Purchase Agreement (Tenax Therapeutics, Inc.)
Other Covered Persons. Other than the Placement AgentFinancial Advisor, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Wisa Technologies, Inc.), Securities Purchase Agreement (Wisa Technologies, Inc.), Securities Purchase Agreement (Wisa Technologies, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (rr)
Appears in 3 contracts
Samples: Securities Purchase Agreement (Comera Life Sciences Holdings, Inc.), Securities Purchase Agreement (Future Healthcare of America), Securities Purchase Agreement (Comera Life Sciences Holdings, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agents) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Cero Therapeutics Holdings, Inc.), Securities Purchase Agreement (Cero Therapeutics Holdings, Inc.), Common Stock Purchase Agreement (Phoenix Biotech Acquisition Corp.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (ABT Holdings, Inc.), Securities Purchase Agreement (JRjr33, Inc.), Securities Purchase Agreement (Staffing 360 Solutions, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Almaden Minerals LTD), Securities Purchase Agreement (Vicinity Motor Corp), Securities Purchase Agreement (Emmaus Life Sciences, Inc.)
Other Covered Persons. Other than the Placement AgentAgent (and any other agents with which the Placement Agent may have any arrangements), the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 3 contracts
Samples: Securities Purchase and Exchange Agreement (Synthesis Energy Systems Inc), Securities Purchase Agreement (Synthesis Energy Systems Inc), Securities Purchase Agreement (Synthesis Energy Systems Inc)
Other Covered Persons. Other than the Placement Agent, the (e). The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Aclarion, Inc.), Securities Purchase Agreement (Cannabics Pharmaceuticals Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of Collateral Agent or any Holder or potential purchasers in connection with the sale of any the Securities.
Appears in 2 contracts
Samples: Note and Warrant Purchase Agreement (Odyssey Marine Exploration Inc), Note and Warrant Purchase Agreement (Odyssey Marine Exploration Inc)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (ss)
Appears in 2 contracts
Samples: Securities Purchase Agreement (Soupman, Inc.), Securities Purchase Agreement (Anpath Group, Inc.)
Other Covered Persons. Other than each of the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares or Warrants.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Adverum Biotechnologies, Inc.), Securities Purchase Agreement (Harpoon Therapeutics, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person, if applicable) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 2 contracts
Samples: Share Purchase Agreement (Wearable Devices Ltd.), Share Purchase Agreement (Wearable Devices Ltd.)
Other Covered Persons. Other than the Placement AgentFinancial Advisor, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Presto Automation Inc.), Securities Purchase Agreement (Akerna Corp.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (nn)
Appears in 2 contracts
Samples: Securities Purchase Agreement (Cineverse Corp.), Securities Purchase Agreement (Surrozen, Inc./De)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesNotes and Warrants.
Appears in 2 contracts
Samples: Securities Purchase and Exchange Agreement (Volcon, Inc.), Securities Purchase and Exchange Agreement (Volcon, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (ss)
Appears in 2 contracts
Samples: Securities Purchase Agreement (Virax Biolabs Group LTD), Securities Purchase Agreement (Accurexa Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers Purchaser in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (Neuralstem, Inc.)
Other Covered Persons. Other than the Placement AgentAgent and a fee that may be payable in connection with purchases by certain parties referenced in the Placement Agent Agreement, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (nn)
Appears in 2 contracts
Samples: Securities Purchase Agreement (Aptevo Therapeutics Inc.), Securities Purchase Agreement (Aptevo Therapeutics Inc.)
Other Covered Persons. Other than the Co-Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.
Appears in 2 contracts
Samples: Co Placement Agency Agreement (Soliton, Inc.), Co Placement Agency Agreement (Soliton, Inc.)
Other Covered Persons. Other than the Placement AgentAgent and as disclosed on Schedule 3.1(ss), the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (iSpecimen Inc.), Securities Purchase Agreement (Context Therapeutics Inc.)
Other Covered Persons. Other than To the Placement Agent, knowledge of the Company there is not aware of any person no Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Purchaser in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (KBL Merger Corp. Iv), Securities Purchase Agreement (KBL Merger Corp. Iv)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers Participants in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Subscription Agreement (SteadyMed Ltd.), Subscription Agreement (SteadyMed Ltd.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (qq)
Appears in 2 contracts
Samples: Securities Purchase Agreement (China Natural Resources Inc), Securities Purchase Agreement (Arcadia Biosciences, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digital Health Acquisition Corp.), Securities Purchase Agreement (Digital Health Acquisition Corp.)
Other Covered Persons. Other than the Placement Agent, Agents and the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Lixte Biotechnology Holdings, Inc.), Securities Purchase Agreement (INVO Bioscience, Inc.)
Other Covered Persons. Other than the Placement Agentintroducing broker / financial advisor, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig Technologies, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Purchaser in connection with the sale of any Securities.securities under Regulation D.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Nemus Bioscience, Inc.), Securities Purchase Agreement (Nemus Bioscience, Inc.)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Upexi, Inc.), Securities Purchase Agreement (Viveve Medical, Inc.)
Other Covered Persons. Other than the Placement AgentAgent and the U.S. Agents, the Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (IM Cannabis Corp.)
Other Covered Persons. Other than the Placement AgentA.G.P., the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Obalon Therapeutics Inc), Form of Securities Purchase Agreement (LiveXLive Media, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Eon Communications Corp), Securities Purchase Agreement (Fuse Science, Inc.)
Other Covered Persons. Other than the Co-Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Rosetta Genomics Ltd.), Securities Purchase Agreement (Rosetta Genomics Ltd.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers the Purchasers in connection with the sale of any Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Inhibikase Therapeutics, Inc.), Securities Purchase Agreement (Aprea Therapeutics, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person Person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities. The Company will not pay any of its officers, directors or employees any special compensation in connection with the transactions contemplated by the Transaction Documents.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Rosetta Genomics Ltd.), Securities Purchase Agreement (Rosetta Genomics Ltd.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securitiesthe Common Stock.
Appears in 2 contracts
Samples: Upfront Securities Purchase Agreement (Firstsun Capital Bancorp), Securities Purchase Agreement (Firstsun Capital Bancorp)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers purchaser in connection with the sale of any Regulation D Securities.
Appears in 2 contracts
Samples: Note Purchase Agreement (AzurRx BioPharma, Inc.), Securities Purchase Agreement (AzurRx BioPharma, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) Person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Offered Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Genetic Technologies LTD), Securities Purchase Agreement (Genetic Technologies LTD)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.. (rr)
Appears in 1 contract
Samples: Securities Purchase Agreement (Ds Healthcare Group, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesNotes.
Appears in 1 contract
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than the Placement Agent and any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 1 contract
Samples: Form of Securities Purchase Agreement (Lilis Energy, Inc.)
Other Covered Persons. Other than the Placement Agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (tt)
Appears in 1 contract
Samples: Securities Purchase Agreement (ASLAN Pharmaceuticals LTD)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Company Covered PersonPerson or Placement Agent Covered Person (as defined in Section 2.3(a))) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securitiesthe Securities pursuant to this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (Lion Biotechnologies, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any Regulation D Securities.. (rr) No Additional Agreements. The Company does not have any agreement or understanding with any Buyer with respect to the transactions contemplated by the Transaction Documents other than as specified in the Transaction Documents. (ss)
Appears in 1 contract
Samples: Execution Copy Securities Purchase Agreement (Phunware, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of Buyers or potential purchasers in connection with the sale of any SecuritiesCommon Shares.
Appears in 1 contract
Samples: Stock Purchase Agreement (Midwest Energy Emissions Corp.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers Acquirers in connection with the sale of any Securities.
Appears in 1 contract
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.. (tt)
Appears in 1 contract
Samples: Form of Securities Purchase Agreement (SOCIAL REALITY, Inc.)
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person Person (other than any Issuer Company Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securitiesthe Securities pursuant to this Agreement.
Appears in 1 contract
Samples: Securities Purchase Agreement (Lion Biotechnologies, Inc.)
Other Covered Persons. Other than the Placement AgentAgent or sub-placement agents thereof, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 1 contract
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered PersonPerson (as defined below)) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 1 contract
Other Covered Persons. Other than the Placement AgentAgent and the financial advisor to the Lead Purchaser, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Alphatec Holdings, Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of the Subscriber or potential purchasers in connection with the sale of any Regulation D Securities.
Appears in 1 contract
Samples: Subscription Agreement (Trillium Therapeutics Inc.)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mela Sciences, Inc. /Ny)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered PersonPerson or the Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (SRIVARU Holding LTD)
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person (other than any Issuer Covered Person) or the Placement Agents that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Car Charging Group, Inc.)
Other Covered Persons. Other than the Placement Agentplacement agent, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any SecuritiesRegulation D Securities pursuant to this offering.
Appears in 1 contract
Other Covered Persons. Other than the Placement Agent, the The Company is not aware of any person Person (other than any Issuer Covered Personthe Placement Agent) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any Regulation D Securities.
Appears in 1 contract
Other Covered Persons. Other than the Placement AgentAgents, the Company is not aware of any person (other than any Issuer Covered Person) that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with the sale of any the Securities.
Appears in 1 contract
