Xxxxx Xxxestment Banking Corp. (u) For a period of five (5) years from the Effective Date the Company (i) at its expense, shall cause its regularly engaged independent certified public accountants to review (but not audit) the Company's financial statements for each of the first three (3) fiscal quarters prior to the announcement of quarterly financial information, the filing of the Company's 10-Q quarterly report and the mailing of quarterly financial information to stockholders and (ii) shall not change its accounting firm without the prior written consent of the Chairman or the President of the Underwriter.
Xxxxx Xxxestment Banking Corp. In the event of certain contingencies provided for in the Warrant Agreement, the Purchase Price or the number of shares of Common Stock subject to purchase upon the exercise of each Class A Warrant represented hereby are subject to modification or adjustment. Each Class A Warrant represented hereby is exercisable at the option of the Registered Holder, but no fractional shares of Common Stock will be issued. In the case of the
Xxxxx Xxxestment Banking Corp a fee of 5% of the aggregate exercise price of the Warrants, a portion of which may be reallowed to the dealer who solicited the exercise (which may also be the Underwriter) if (i) the market price of the Company's Common Stock is greater than the exercise price of the Warrants on the date of exercise; (ii) the exercise of the Warrant was solicited by a member of the National Association of Securities Dealers, Inc., (iii) the Warrant is not held in a discretionary account; (iv) the disclosure of compensation arrangements has been made in documents provided to customers, both as part of the original offering and at the time of exercise, and (v) the solicitation of the Warrant was not in violation of Rule 10b-6 promulgated under the Securities Exchange Act of 1934, as amended. The Company agrees not to solicit the exercise of any Warrants other than through D.H. Xxxxx Xxxestment Banking Corp. and will not authorize any other dealer to engage in such solicitation without the prior written consent of D.H.
Xxxxx Xxxestment Banking Corp a fee of 5% of the aggregate exercise price of the Warrants, of which 1% may be reallowed to the dealer who solicited in writing the exercise (which may also be D.H. Xxxxx Xxxestment Banking Corp.) if (i) the market price of the Company's Class A Common Stock is greater than the exercise price of the Warrants on the date of exercise; (ii) the exercise of the Warrant was solicited by a member of the National Association of Securities Dealers, Inc., (iii) the Warrant is not held in a discretionary
Xxxxx Xxxestment Banking Corp. By:________________________________________ Martxx X. Xxxx, Xxce Chairman and General Counsel
Xxxxx Xxxestment Banking Corp a fee of 5% of the aggregate exercise price of the Warrants, of which 1% may be reallowed to the dealer who solicited in writing the exercise (which may also be the Representative) if (i) the market price of the Company's Class A Common Stock is greater than the exercise price of the Warrants on the date of exercise; (ii) the exercise of the Warrant was solicited by a member of the National Association of Securities Dealers, Inc., (iii) the Warrantholder designates in writing that the exercise of the Warrant was solicited by a member of the National Association of Securities Dealers, Inc. and designates in writing the broker-dealer to receive compensation for such exercise; (iv) the Warrant is not held in a discretionary account; (v) the disclosure of compensation arrangements has been made in documents provided to customers, both as part of the original offering and at the time of exercise, and (vi) the solicitation of the Warrant was not in violation of Regulation M promulgated under the Securities Exchange Act of 1934, as amended. The Company agrees not to solicit the exercise of any Warrants other than through D.H. Xxxxx Xxxestment Banking Corp. and will not authorize any other dealer to engage in such solicitation without the prior written consent of D.H.
Xxxxx Xxxestment Banking Corp. In the event of certain contingencies provided for in the Warrant Agreement, the Purchase Price or the number of shares of Common Stock subject to purchase upon the exercise of each Class B Warrant represented hereby are subject to modification or adjustment. Each Class B Warrant represented hereby is exercisable at the option of the Registered Holder, but no fractional shares of Common Stock will be issued. In the case of the exercise of less than all the Class B Warrants represented hereby, the Company shall cancel this Warrant Certificate upon the surrender hereof and shall execute and deliver a new Warrant Certificate or Warrant Certificates of like tenor, which the Warrant Agent shall countersign, for the balance of such Class B Warrants.
Xxxxx Xxxestment Banking Corp. (Name of NASD Member) Dated: X ------------------------------ ------------------------------------ ------------------------------------ Address ------------------------------------ Taxpayer Identification Number ------------------------------------ Signature Guaranteed ------------------------------------ THE SIGNATURE TO THE ASSIGNMENT OR THE SUBSCRIPTION FORM MUST CORRESPOND TO THE NAME AS WRITTEN UPON THE FACE OF THIS WARRANT CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATSOEVER, AND MUST BE GUARANTEED BY A MEMBER OF THE MEDALLION STAMP PROGRAM.
Xxxxx Xxxestment Banking Corp. Each Warrant represented hereby is exercisable at the option of the Registered Holder, but no fractional shares of Class A Common Stock will be issued. In the case of the exercise of less than all the Warrants represented hereby, the Company shall cancel this Warrant Certificate upon the surrender hereof and shall execute and deliver a new Warrant Certificate or Warrant Certificates of like tenor, which the Warrant Agent shall countersign, for the balance of such Warrants.
Xxxxx Xxxestment Banking Corp a fee of 5% of the aggregate exercise price of the Warrants, a portion of which may be reallowed to the dealer who solicited in writing the exercise (which may also be the Underwriter) if (i) the market price of the Company's Common Stock is greater than the exercise price of the Warrants on the date of exercise; (ii) the exercise of the Warrant was solicited by a member of the National Association of Securities Dealers, Inc., (iii) the Warrant is not held in a discretionary account; (iv) the disclosure of compensation arrangements has been made in documents provided to customers, both as part of the original offering and at the time of exercise, and (v) the solicitation of the Warrant was not in violation of Rule 10b-6 promulgated under the Securities Exchange Act of 1934, as amended. The Company agrees not to solicit the exercise of any Warrants other than through D.H. Xxxxx
