Common use of Transactions Affecting Disclosure to Finra Clause in Contracts

Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 61 contracts

Samples: Underwriting Agreement (Industrial Tech Acquisitions, Inc.), Underwriting Agreement (Canna-Global Acquisition Corp), Underwriting Agreement (Kairous Acquisition Corp. LTD)

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Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any the Initial Shareholder Stockholders with respect to the sale of the Securities, the Placement Securities or the Additional Placement Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or the Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 11 contracts

Samples: Underwriting Agreement (Blockchain Moon Acquisition Corp.), Underwriting Agreement (Mountain Crest Acquisition Corp II), Underwriting Agreement (Mountain Crest Acquisition Corp. V)

Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder Stockholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 5 contracts

Samples: Underwriting Agreement (OceanTech Acquisitions I Corp.), Underwriting Agreement (OceanTech Acquisitions I Corp.), Warrant Agreement (Goldenstone Acquisition Ltd.)

Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 5 contracts

Samples: Underwriting Agreement (Minority Equality Opportunities Acquisition Inc.), Underwriting Agreement (Avalon Acquisition Inc.), Underwriting Agreement (OceanTech Acquisitions I Corp.)

Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined defined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Avalon Acquisition Inc.), Underwriting Agreement (Avalon Acquisition Inc.)

Transactions Affecting Disclosure to Finra. 2.18.1. 2.18.1 Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Mars Acquisition Corp.), Underwriting Agreement (Mars Acquisition Corp.)

Transactions Affecting Disclosure to Finra. 2.18.1. (i) Except as described in the Preliminary Registration Statement, the Pricing Disclosure Package and the Prospectus and/or and the Prospectusamount of any fees paid to FINRA members with respect to its at-the-market offerings, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder Insider with respect to the sale of the Public Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or Initial Shareholders shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (NXT-Id, Inc.), Underwriting Agreement (NXT-Id, Inc.)

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Transactions Affecting Disclosure to Finra. 2.18.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any the Initial Shareholder Shareholders with respect to the sale of the Public Securities, the Placement Securities or the Additional Placement Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or the Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Nocturne Acquisition Corp), Underwriting Agreement (Nocturne Acquisition Corp)

Transactions Affecting Disclosure to Finra. 2.18.12.15.1. Except as described in the Registration Statement, the Sale Preliminary Prospectus and/or and the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any Initial Shareholder Director/Officer with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any stockholders of its officers, directors or the Company immediately prior to the Offering (the “Initial Shareholders Stockholders”) that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (Longwei Petroleum Investment Holding LTD)

Transactions Affecting Disclosure to Finra. 2.18.1. 2.19.1 Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any the Initial Shareholder Shareholders with respect to the sale of the Public Securities or the Placement Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or the Initial Shareholders that may affect the Underwriters’ compensation, as determined defined by FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (Bayview Acquisition Corp)

Transactions Affecting Disclosure to Finra. 2.18.12.19.1. Except as described in the Preliminary Prospectus and/or the Prospectus, there are no claims, payments, arrangements, agreements agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or its officers or directors or any the Initial Shareholder Shareholders with respect to the sale of the Public Securities or the Placement Securities hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its officers, directors or the Initial Shareholders that may affect the Underwriters’ compensation, as determined defined by FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (Bayview Acquisition Corp)

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