Schedule of Buyers. Annex I-B to the Purchase Agreement is hereby amended and restated in the form of Annex I-B attached hereto.
Schedule of Buyers. The Schedule of Buyers to the Securities Purchase Agreement is hereby amended and restated in the form of Exhibit B attached hereto.
Schedule of Buyers. Buyer Buyer Address and Facsimile Number Buyer's Representative's Address and Facsimile Number EXHIBIT A FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT Interwest Transfer Company, Inc. 0000 Xxxxxx Xxxxxxxx Road, Suite 100 Salt Lake City, UT 84117 Re: China XD Plastics Company Limited Ladies and Gentlemen: [We are][I am] counsel to China XD Plastics Company Limited, a Nevada corporation (the "Company"), and have represented the Company in connection with that certain Securities Purchase Agreement, dated as of November 27, 2009 (the "Securities Purchase Agreement"), entered into by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders Series C Convertible Preferred Shares (the "Preferred Shares") convertible into the Company's common stock, $0.0001 par value per share (the "Common Stock") and two (2) series of warrants exercisable for shares of Common Stock (the "Warrants"). Pursuant to the Securities Purchase Agreement, the Company also has entered into a Registration Rights Agreement with the Holders (the "Registration Rights Agreement") pursuant to which the Company agreed, among other things, to register the resale of the Registrable Securities (as defined in the Registration Rights Agreement), including the shares of Common Stock issuable upon conversion of the Preferred Shares and the shares of Common Stock issuable upon exercise of the Warrants under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Registration Rights Agreement, on ____________ ___, 2009, the Company filed a Registration Statement on Form S-3 (File No. 333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling shareholder thereunder. In connection with the foregoing, [we][I] advise you that a member of the SEC's staff has advised [us][me] by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and [we] [I] have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale ...
Schedule of Buyers. Buyer’s Name Original Principal Amount of Notes Sxxxx Capital Group LLC $ 204,545.45 Dxxxx Xxxxxxxxx $ 204,545.45 Harborview Value Master Fund, L.P. $ 181,818.18 Exxxxxxx Management Partners, LLC $ 181,818.18 The Cxxxxxx LLC $ 77,272.73
Schedule of Buyers. Number of Maximum Aggregate Shares of Number of Shares of Series A Series B Preferred Investor Address and Preferred Stock and Series C Investor's Advisors and Investor Name Facsimile Number Stock and Preferred Stock Legal Counsel Address --------------------------- ------------------------- Warrants Purchasable -------------------------- ------------ -------------------- AGR Halifax Fund, Ltd. c/o AG Ramius Partners, 1,500 Shares 1,500 Shares Eleaxxx Xxxxx, Xxq. (Cayman Islands) LLC Schuxxx Xxxh & Xabex XXX 757 Xxxxx Xxxxxx, 00xx 61,500 900 Xxxxx Xxxxxx Xxxxx Xxxxxxxx Xxx Xxxx, XX 00000 New Xxxx, XX 00000 Phone: (212) 000-0000 Attn.: Jeffxxx Xxxxxxx Fax: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 c/o Xxxxxx Xxxxxx & Leonxxxx, X.P. Co., L.P. 850 Shares 850 Shares Eleaxxx Xxxxx, Xxq. (Cayman Islands) 245 Xxxx Xxxxxx, Xxxxxxx Xxxh & Xabex XXX 26th Floor 34,850 900 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Warrants New Xxxx, XX 00000 Attn: Gary Xxxx Phone: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 Fax: (212) 000-0000 c/o Xxxxxx Xxxxxx & GAM Arbitrage Investments, Co., L.P. 100 Shares 100 Shares Eleaxxx Xxxxx, Xxq. Inc. 245 Xxxx Xxxxxx, Schuxxx Xxxh & Xabex XXX (Cayman Islands) 26th Floor 4,100 900 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Warrants New Xxxx, XX 00000 Attn: Gary Xxxx Phone: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 Fax: (212) 000-0000 c/o Xxxxxx Xxxxxx & AG Super Fund Co., L.P. 100 Shares 100 Shares Eleaxxx Xxxxx, Xxq. International Partners, 245 Xxxx Xxxxxx, Xxxxxxx Xxxh & Xabex XXX L.P. 26th Floor 4,100 900 Xxxxx Xxxxxx (British Virgin Islands) New Xxxx, XX 00000 Warrants New Xxxx, XX 00000 Attn: Gary Xxxx Phone: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 Fax: (212) 000-0000 x/x Xxxxxx Xxxxxx & Raphael, L.P. Co., L.P. 150 Shares 150 Shares Eleaxxx Xxxxx, Xxq. (Cayman Islands) 245 Xxxx Xxxxxx, Xxxxxxx Xxxh & Xabex XXX 26th Floor 6,150 900 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Warrants New Xxxx, XX 00000 Attn: Gary Xxxx Phone: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 Fax: (212) 000-0000 c/o Angexx Xxxxxx & Ramius Fund, Ltd. Co., L.P. 300 Shares 300 Shares Eleaxxx Xxxxx, Xxq. (Cayman Islands) 245 Xxxx Xxxxxx, Xxxxxxx Xxxh & Xabex XXX 26th Floor 12,300 900 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Warrants New Xxxx, XX 00000 Attn: Gary Xxxx Phone: (212) 000-0000 Phone: (212) 000-0000 Fax: (212) 000-0000 Fax: (212) 000-0000
Schedule of Buyers. The Schedule of Buyers attached to the Securities Purchase Agreement shall be replaced in its entirety by the Modified Schedule of Buyers attached to this Agreement.
Schedule of Buyers. Buyer Buyer Addressand Facsimile Number Buyer's Representative's Address and Facsimile Number Empery Asset Master Ltd. c/o Empery Asset Management, LP0 Xxxxxxxxxxx Xxxxx, Xxxxx 0000Xxx Xxxx, XX 00020Attention: Ryxx X. XaneFacsimile: (212) 608 3307Telephone: (212) 608 3300Email: noxxxxx@xxxxxxxx.xxx Scxxxxx Xoxx & Zaxxx XLP 910 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Xttn: Elxxxxx Xxxxx, Esq. Facsimile: (200) 000-0000 Xelephone: (200) 000-0000 Xmail: elxxxxx.xxxxx@xxx.xxx Empery Tax Efficient, LP c/o Empery Asset Management, LP0 Xxxxxxxxxxx Xxxxx, Xxxxx 0000Xxx Xxxx, XX 00020Attention: Ryxx X. XaneFacsimile: (212) 608 3307Telephone: (212) 608 3300Email: noxxxxx@xxxxxxxx.xxx Scxxxxx Xoxx & Zaxxx XLP 910 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Xttn: Elxxxxx Xxxxx, Esq. Facsimile: (200) 000-0000 Xelephone: (200) 000-0000 Xmail: elxxxxx.xxxxx@xxx.xxx Empery Tax Efficient II, LP c/o Empery Asset Management, LP0 Xxxxxxxxxxx Xxxxx, Xxxxx 0000Xxx Xxxx, XX 00020Attention: Ryxx X. XaneFacsimile: (212) 608 3307Telephone: (212) 608 3300Email: noxxxxx@xxxxxxxx.xxx Scxxxxx Xoxx & Zaxxx XLP 910 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Xttn: Elxxxxx Xxxxx, Esq. Facsimile: (200) 000-0000 Xelephone: (200) 000-0000 Xmail: elxxxxx.xxxxx@xxx.xxx Siesta Fiesta Holdings, LLC c/o Siesta Fiesta Holdings, LLC 7900 Xxxxxxxx Xxxx Xxxx Xxxxxxxx, XX 00000 Xttention: Scxxx Xxxxxxxx Xacsimile: 400-000-0000 Xelephone : 940-000-0000 Xmail: scxxx00@xxxxxxx.xxx Jaxxx Xxxxxxxx Xaxxx X. Xxxxxxxx 0300 Xxxxxxxxxx Xxxx., Xxxxx 000 Xxxxxx Xxxx, XX 00000 Xacsimile: 400-000-0000 Xelephone : 400-000-0000 Xmail: bhxxxxxxx@xxxxxxxx.xxx Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B c/o Ayrton Capital LLC 1100 Xxxxxx xx Xxxxxxxx, Xxxxx 000 Xxx Xxxx, XX 00000 Xelephone: +1-000-000-0000 Xmail: wk@xxxxxxxxx.xxx Adxx Xxxxxxx 05000 Xxx Xxxxxxx Xxxx Hidden Hills, CA 91302 Telephone: 810-000-0000 Xmail: adxx@xxxxxxx.xxx Red Mango Enterprises Limited Pictet & Cie (Europe) S.A. Hong Kong Branch, 9/X Xxxxxx Xxxxx 0 Xxxxxxxxx Xxxx Xxxxxxx, Xxxx Xxxx Xacsimile: 850 0000 0000 Xelephone: 850 0000 0000 Xmail: mcxxx@xxxxxx.xxx The Rosalinde and Arxxxx Xxxxxxx Xoundation 2700 Xxxxxxxx Xxxx., Xxxxx 000 Xxxxx Xxxxxx, XX 00000 Xttention: Maxxxx X. Xxxxx, Xx. Xelephone: 310-000-0000 Xmail: maxxx@xxxxxx.xxx The RSZ Trust 11000 Xxxxxxxx Xxxx., Xxxxx 0000 Xxx Xxxxxxx, XX 00000 Xttention: Rixxxxx X. Xxxxx Xelephone: 310-000-0000 Xmail: rzxxxx@xxxxxxxxxxxxxxxxx.xxx Jexxxxx Xxxxxxxx Xevocable Living Trust 1000 Xxxxxxx Xxxxx #710 Santa F...
Schedule of Buyers. Buyer Purchase Price Units Grayboard Investments, Ltd. 7,500,000 1,626,898 Total $ 7,500,000 1,626,898 RESONANT INC. COMPANY DISCLOSURE SCHEDULES TO SECURITIES PURCHASE AGREEMENT DATED FEBRUARY 20, 2017 The following Company Disclosure Schedules (the “Schedules”) are provided in connection with the Securities Purchase Agreement (the “Agreement”), dated as of the 20th day of February 2017, by and between Resonant Inc., a Delaware corporation (the “Company”), and each individual or entity named on the Schedule of Buyers attached thereto (each such individual or entity, individually, a “Buyer” and all of such individuals or entities, collectively, the “Buyers”). Capitalized terms used but not defined herein shall have the respective meanings ascribed to such terms in the Agreement. The Schedules may include items or information which the Company is not required to disclose under the Agreement and disclosure of such items or information shall not affect the interpretation of the Agreement or the scope of the disclosure obligations thereunder. The Schedules are arranged in sections corresponding to the numbered and lettered sections contained in the Agreement, and any disclosure in one section of the Schedules shall be deemed disclosed in all other sections of the Schedules where it is reasonably apparent from the disclosure that the disclosure would apply in other sections. The headings contained in these Schedules are for reference purposes only and shall not affect in any way the meaning or interpretation of these Schedules. Inclusion of any item in these Schedules: (a) does not represent a determination that such item is material nor shall it be deemed to establish a standard of materiality, (b) does not represent a determination that such item did not arise in the ordinary course of business and (c) shall not constitute, or be deemed to be, an admission to any third party concerning such item. Schedule 6.4 Capitalization Resonant Inc. Pro Forma Capitalization Authorized Capital: Common Stock: 47,000,000 Preferred Stock: 3,000,000 Shares Fully Diluted% Total Shares of Common Stock 12,817,310 62.23 % Total Shares of Preferred Stock 0 0.00 % Total Options Outstanding (1) 935,074 4.54 % Total RSUs Outstanding 1,412,595 6.86 % Total 2014 Plan Shares Reserved and Not Subject to Outstanding Awards 192,574 0.93 % Total Warrants (2) 1,986,124 9.64 % Current Transaction: Total 2017 PIPE Shares 1,626,898 7.9 % Total 2017 PIPE Warrants 1,626,898 7.9 % Total 20,597,473...
Schedule of Buyers. Buyer Buyer Address HCP-MID, LLC c/x Xxxx Fund Management, LLC, Managing Member 000 Xxxxxxxxx Xxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attention: Xxxxxx X. Xxxx , Xx. EREF-MID II, LLC c/x Xxxx Fund Management, LLC, Managing Member 000 Xxxxxxxxx Xxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attention: Xxxxxx X. Xxxx , Xx. INV-MID, LLC c/x Xxxx Fund Management, LLC, Managing Member 000 Xxxxxxxxx Xxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attention: Xxxxxx X. Xxxx , Xx. EXHIBIT A
Schedule of Buyers. YA II PN, LTD, an exempted company incorporated in the Cayman Islands with limited liability and whose registered office is at XX Xxx 000, Xxxxxx Xxxxx, Grand Cayman KY1 1101 (“YA II”). Address for Contacts: YA II PN, Ltd. 0000 Xxxxxxxxxxx Xxxxxx Xxxxxxxxxxxx, XX 00000 Attention: Xxxx Xxxxxxx, Email: xxxxxxxx@xxxxxxxxxxxxxxxxx.xxx RIVERFORT GLOBAL OPPORTUNITIES PLC, a company incorporated in England and Wales and whose principal office is at 00 Xxxxxxxxx Xxxxxx, Xxxxxx X0X 0XX, Xxxxxx Xxxxxxx (“Riverfort”).
