Engagement Agreement Sample Contracts

Mary Jane'S Vape & Smoke Shop, Inc. – Engagement Agreement With (September 10th, 2018)
heckmann – Engagement Agreement (May 9th, 2018)

This Engagement Agreement (this "Agreement") is entered into as of the 2nd day of March, 2018 (the "Effective Date") by and between Nuverra Environmental Solutions, Inc., a Delaware corporation (the "Company"), and Charles K. Thompson (the "Interim CEO").

Renewal of Law Firm Engagement Agreement (May 4th, 2018)

This Agreement (this Agreement) entered into in the City of Jacksonville and State of Florida between Stein Mart, Inc., a Florida corporation and its divisions, subsidiaries and affiliates (the Company), and KIRSCHNER & LEGLER, P.A. (which, together with its president, Mitchell W. Legler, Legler, and with Legler and Kirschner & Legler, P.A. collectively called the Firm), is made as of April 1, 2017 (the Effective Date).

Reinstatement and First Amendment to Engagement Agreement (January 18th, 2018)

THIS REINSTATEMENT AND FIRST AMENDMENT TO ENGAGEMENT AGREEMENT (this "Amendment"), dated as of December 11, 2015, is entered into by and between Live Ventures Incorporated (f/k/a LiveDeal, Inc.), a Nevada corporation (the "Company"), and Chardan Capital Markets LLC ("Chardan", "Advisor", "Placement Agent") with reference to the following recitals:

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (January 16th, 2018)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Joseph Gunnar & Co., LLC ("Joseph Gunnar") as its non-exclusive financial advisor and placement agent in connection with an institutional equity capital raise(s) ("each a Transaction" and each an "Offering").

Akoustis Technologies, Inc. – First Amendment to Engagement Agreement Providing for Investment Banking Services (January 16th, 2018)

This letter ("First Amendment") hereby amends the Engagement Agreement Providing for Investment Banking Services (the "Engagement") dated November 13, 2017 between Akoustis Technologies, Inc. and Joseph Gunnar & Co., LLC. As between the parties this amendment letter shall be effective as of December 7, 2017.

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (January 16th, 2018)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Joseph Gunnar & Co., LLC ("Joseph Gunnar") as its non-exclusive financial advisor and placement agent in connection with an institutional equity capital raise(s) ("each a Transaction" and each an "Offering").

Akoustis Technologies, Inc. – First Amendment to Engagement Agreement Providing for Investment Banking Services (January 16th, 2018)

This letter ("First Amendment") hereby amends the Engagement Agreement Providing for Investment Banking Services (the "Engagement") dated November 13, 2017 between Akoustis Technologies, Inc. and Drexel Hamilton, LLC.

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (January 16th, 2018)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Drexel Hamilton, LLC ("Drexel Hamilton") as its non-exclusive financial advisor and lead placement agent in connection with the private placement of the Company's common stock (together with any warrants that may be issued with the common stock, the "Securities") to include other broker dealers mutually acceptable to the Company and Drexel Hamilton ("Assisting BDs"). It is contemplated that the Securities may be issued, and funds therefor released, in a series of closings (each such closing, a "Transaction"). The Transactions will be conducted by Drexel Hamilton on a reasonable best efforts basis. The Company agrees and acknowledges that Drexel Hamilton is not acting as an underwriter with respect to the Transactions.

Arkados Group – Acquisition Engagement Agreement ("Agreement") (September 14th, 2017)

This Agreement dated June1, 2017 is made and entered into by and between The Capital Corporation of America, Inc., a South Carolina corporation, 84 Villa Road, Greenville, SC d/b/a The Capital Corporation ("Capital") and Arkados Group, Inc. and any related corporate entity and its owners and shareholders, hereinafter individually and collectively referred to as ("Client").

Akoustis Technologies, Inc. – First Amendment to Engagement Agreement Providing for Investment Banking Services (May 25th, 2017)

This letter ("First Amendment") hereby amends the Engagement Agreement Providing for Investment Banking Services (the "Engagement") dated December 12, 2016 between Akoustis Technologies, Inc. and Drexel Hamilton, LLC.

Western Uranium Corp – Engagement Agreement (May 15th, 2017)

THIS ENGAGEMENT AGREEMENT ("Agreement") is executed this 12th day of May 2017, and effective as of the 1st day of May 2017 (the "Effective Date"), between Western Uranium Corporation, an Ontario, Canada corporation ("WUC") and Robert R. Klein ("Klein").

Amended and Restated Engagement Agreement (April 4th, 2017)
First Amendment of Engagement Agreement (April 4th, 2017)

NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the receipt and sufficiency of which is acknowledged, the Parties agree that the Engagement Agreement is amended as follows:

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (February 14th, 2017)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Drexel Hamilton, LLC ("Drexel Hamilton") as its non-exclusive financial advisor and lead placement agent in connection with an institutional equity capital raise(s) ("each a Transaction" and each an "Offering") to include other broker dealers mutually acceptable to the Company and Drexel Hamilton ("Assisting BDs").

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (February 14th, 2017)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Northland Securities, Inc. ("Northland") as its non-exclusive financial advisor in connection with an institutional equity capital raise(s) ("each a Transaction" and each an "Offering").

Akoustis Technologies, Inc. – Engagement Agreement Providing for Investment Banking Services (February 14th, 2017)

This letter agreement (this "Agreement") is to confirm the engagement by Akoustis Technologies, Inc. and its subsidiaries and affiliates (the "Company" or "you") of Joseph Gunnar & Co., LLC ("Joseph Gunnar") as its non-exclusive financial advisor and placement agent in connection with an institutional equity capital raise(s) ("each a Transaction" and each an "Offering").

Engagement Agreement (February 1st, 2017)

This ENGAGEMENT AGREEMENT (this "Agreement") is made as of December 21, 2016 (the "Effective Date") between Spire Inc. ("Spire") and L. Craig Dowdy ("Dowdy").

Hispanica International Delights Of America, Inc. – Garden State Securities Engagement Agreement Dated June 30, 2016 (December 20th, 2016)
Hispanica International Delights Of America, Inc. – Garden State Securities Engagement Agreement Dated June 30, 2016 (December 7th, 2016)
MAGELLAN GOLD Corp – Investor Relations Engagement Agreement (October 27th, 2016)

This Investor Relations Engagement Agreement (Agreement) shall serve as the complete and final understanding by and between Magellan Gold Corporation (the Company), 2010A Harbison Drive #312, Vacaville, California 95687 and Intuitive Pty Ltd (Intuitive) 52 Dixon Street, Malvern, VIC 3144 Australia, both of which are also referred to collectively herein as the Parties.

KTL Bamboo International Corp – Re: Private Placement Engagement Agreement (October 14th, 2016)

This letter will confirm our understanding that Miramar Labs, Inc. its subsidiaries, affiliates, or successor (the "Company") has engaged Katalyst Securities LLC ("Katalyst") and The Benchmark Company, LLC ("Benchmark"), registered broker-dealers and members of the Financial Industry Regulatory Authority ("FINRA"), (hereinafter collectively referred to as the "Placement Agents"), as its exclusive co-placement agents in connection with the matters described below, subject to the terms and conditions set forth in this letter agreement (the "Agreement").

NextGlass Technologies Corp. – Engagement Agreement (July 12th, 2016)
KTL Bamboo International Corp – Re: Private Placement Engagement Agreement (June 13th, 2016)

This letter will confirm our understanding that Miramar Labs, Inc. its subsidiaries, affiliates, or successor (the "Company") has engaged Katalyst Securities LLC ("Katalyst") and The Benchmark Company, LLC ("Benchmark"), registered broker-dealers and members of the Financial Industry Regulatory Authority ("FINRA"), (hereinafter collectively referred to as the "Placement Agents"), as its exclusive co-placement agents in connection with the matters described below, subject to the terms and conditions set forth in this letter agreement (the "Agreement").

Regen BioPharma Inc – Engagement Agreement (June 8th, 2016)

We are pleased that you wish to retain Objective Capital Partners as your exclusive investment banker in connection with the possible Strategic Development Partnership (as defined below) and potential Sale (as defined below) of the Company.

Bio-Matrix Scientific Group – Engagement Agreement (June 8th, 2016)

We are pleased that you wish to retain Objective Capital Partners as your exclusive investment banker in connection with the possible Strategic Development Partnership (as defined below) and potential Sale (as defined below) of the Company.

Kalahari Greentech Inc. – Investment Banking Engagement Agreement (March 3rd, 2016)
Roi Land Investments Ltd – Mutual Engagement Agreement (January 26th, 2016)

This agreement is to confirm the scope of engagement, fees and other terms on which GCA AM would be pleased to act as an advisor and introducer to ROI in connection with the introduction of potential investors ("Investors") in ROI and/or its projects for an amount and conditions to be determined between both parties.

Guardian 8 Holdings – Amendment No. 3 to Non-Employee Interim Chief Financial Officer Engagement Agreement (January 8th, 2016)

This Amendment No. 3 to Non-employee Interim Chief Financial Officer Agreement (this "Amendment No. 3") is entered into as of the 1st day of December, 2015 (the "Effective Date") by and between Guardian 8 Holdings, a Nevada corporation (the "Company"), and Kathleen Hanrahan ("Executive").

Santa Fe Petroleum, Inc. – Engagement Agreement (November 5th, 2015)

This Engagement Agreement (the "Agreement") is made and entered into effective the 12th day of January, 2015, by and between Santa Fe Petroleum, Inc. ("Company"), a Delaware corporation, with its principal office at 1333 W. McDermott Drive, Suite 200, Allen, Texas 75013 and Edward R. Wachendorfer ("Wachendorfer") 1108 Muscogee Trail, Carrollton, Texas 75010.

Santa Fe Petroleum, Inc. – Engagement Agreement (November 5th, 2015)

This Engagement Agreement (the "Agreement") is made and entered into effective the 12th day of January, 2015, by and between Santa Fe Petroleum, Inc. ("Company"), a Delaware corporation, with its principal office at 1333 W. McDermott Drive, Suite 200, Allen, Texas 75013 and Carl V. Karnes ("Karnes"), 2201 Winding Hollow Lane, Plano, Texas 75093.

ABCO Energy, Inc. – ENGAGEMENT AGREEMENT September 15, 2015 (September 17th, 2015)

This letter sets forth the terms under which ABCO Energy, Inc., a Nevada corporation (the "Company") engages Adamas Fund LLC (the "Advisor) as its agent for purposes of providing capital markets advisory, consulting and legal services to Company in connection with a contemplated offering of its debt securities ["Debt Securities"] pursuant to an exemption from registration found in Section 5 of the Securities Act of 1933 and, specifically, Rule 144A promulgated thereunder (the "Proposed Transaction")(the "Agreement"). In accordance therewith, the parties hereto agree as follows:

CAT9 Group Inc. – Engagement Agreement Consulting Services (September 1st, 2015)

This Consulting Agreement (this "Agreement") dated as of August 18, 2015 (the "Effective Date"), is by and between ANDES 4 Inc., (TBC[1]: CAT9 Group Inc.) a Delaware corporation, with offices at Chongqing BaNa District, YuDong YingDan Plaza 63-3, Chongqing, China 401320 (the "Client") and Tech Associates Inc (the "Consultant") with offices at 75 Broadway Street, Suite 202, San Francisco, CA 94111.

Globaloptions Group – Engagement Agreement (August 24th, 2015)

AGREEMENT entered into as of the 20th day of August 2015 by and between Walker Digital, LLC, a Delaware LLC with principal offices at 2 High Ridge Park, Stamford, CT 06905 ("Digital"), and Walker Innovation Inc., a Delaware corporation having its principal offices at 2 High Ridge Park, Stamford, CT 06905 ("Innovation").

Astro-Med Inc -Old – YORKSHIRE CAPITAL ADVISORS, LLC April 30, 2015 (August 20th, 2015)

This written engagement agreement, prepared by the consultant, shall clearly address the objectives of representation and detail the fee arrangement, including all material terms. These fees are not to be based on criteria apart from, or in addition to, hourly rates, such criteria (e.g., unique time demands and/or utilization of unique expertise) shall be delineated. The Client shall receive a copy of the written engagement agreement and any additional clarification requested and is advised not to sign any such agreement which the Client finds to be unsatisfactory or does not understand.