Common use of No General Solicitation; Placement Agent’s Fees Clause in Contracts

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 4 contracts

Samples: Credit Agreement (Pacific Ethanol, Inc.), Securities Purchase Agreement (Pacific Ethanol, Inc.), Securities Purchase Agreement (Pacific Ethanol, Inc.)

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No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Guggenheim Securities, LLC as its lead placement agent and Xxxx Capital Partners, LLC as co-placement agent (each an “Agent” and together the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Zosano Pharma Corp), Securities Purchase Agreement (Zosano Pharma Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Cxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Kona Grill Inc), Securities Purchase Agreement (OccuLogix, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, Company nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxx and Company, LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the AgentAgent and JMP Securities, Inc., the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Acelrx Pharmaceuticals Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission commissions (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets SX Xxxxx & Co., LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Smith & Wesson Holding Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxxx Xxxxxxxxxx Xxxxx LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (dELiAs, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable and documented attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Leerink Partners LLC, X.X. Xxxxxx & Co. and Brookline Capital Markets LLC Markets, a division of CIM Securities, LLC, as its lead placement agents and Reedland Capital Partners as its co-placement agent (collectively, the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (CareDx, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets JMP Securities, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the SecuritiesCommon Shares. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesCommon Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (American Realty Capital Properties, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission commissions (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Banc of America Securities LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Curon Medical Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Cxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Iomai Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Mxxxxx Sxxxxxx & Co. LLC as its lead placement agent financial adviser (the “Agent”) in connection with the sale of the SecuritiesCommon Shares. Other than the Agent, the Company has not engaged any financial adviser, placement agent or other agent in connection with the sale of the SecuritiesCommon Shares.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Gramercy Property Trust Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s agents’ fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC LLC, Ardour Capital Investments and Xxxxxxxx Capital, Inc. as its lead exclusive placement agent agents (collectively, the “AgentPlacement Agents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cereplast Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission commissions (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Banc of America Securities LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Buca Inc /Mn)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons Persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Xxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the SecuritiesCommon Shares. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesCommon Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Orchid Cellmark Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, Company nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any the Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each the Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxx and Company, LLC and X.X. Xxxxxxxxx + Co., LLC as its lead exclusive placement agent agents (the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Silicom LTD)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the SecuritiesCommon Shares. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities Common Shares pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Freres & Co. LLC as its lead placement agent (together with any co-placement agent, the “Agent”) in connection with the sale of the SecuritiesCommon Shares. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the SecuritiesCommon Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Via Pharmaceuticals, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Cxxxx & Co., LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Micromet, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, Company nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxx and Company, LLC and X.X. Xxxxxxxxx + Co., LLC as its lead exclusive placement agent agents (the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Silicom LTD)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalfbehalf (other than the Agents and their respective Affiliates, with respect to whom the Company makes no representation or warranty), has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) Loss arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company Athersys acknowledges that is it has engaged Lazard Capital Markets Cxxxx and Company, LLC and National Securities Corporation as its lead exclusive placement agent agents (the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (BTHC VI Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any the Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each the Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Littlebanc Advisors LLC through Wilmington Capital Markets Securities LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Kinderhook Partners, Lp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC the Placement Agent as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Placement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Security Agreement (Stratus Media Group, Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC as its lead placement agent with Xxxx Capital Partners and Ardour Capital Investments, LLC as co-placement agents (the “AgentPlacement Agents”) in connection with the sale of the Securities. Other than the AgentPlacement Agents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cereplast Inc)

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No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s agents’ fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Xxxxx and Company, LLC and BMO Capital Markets LLC Corp. as its lead placement agent agents (the “AgentAgents”) in connection with the sale of the Securities. Other than the AgentAgents, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Regado Biosciences Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Xxxxxx Xxxxxxxxxx Xxxxx LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (dELiAs, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any the Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each the Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Littlebanc Advisors LLC through Wilmington Capital Markets Securities LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Liberator Medical Holdings, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC as its lead placement agent X. Xxxxx & Co. (the “Placement Agent”) as its placement agent in connection with the sale of the Securities. Other than the Placement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Strasbaugh)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any the Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each the Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (GigOptix, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard MDB Capital Markets Group LLC (“MDB”) as its lead exclusive placement agent and other such agents as MDB may so determine (collectively, the “Placement Agent”) in connection with the sale of the Securities. Other than the Placement Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase and Registration Rights Agreement (Majesco Entertainment Co)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesto the Company’s Knowledge, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket attorney's fees and expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Xxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Alimera Sciences Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is it has engaged Lazard Capital Markets Cxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Access Pharmaceuticals Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets LLC Xxxxxxxxx & Company, Inc. as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Rxi Pharmaceuticals Corp)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s 's fees, financial advisory fees, or brokers' commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Xxxxx & Co., LLC and Xxxxxxx & Company, Inc., as its lead placement agent agents (collectively, the “Agent”"AGENT") in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cyclacel Pharmaceuticals, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has it had previously engaged Lazard Capital Markets Xxxxxx Xxxxxx Partners LLC as its lead placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agenta financing, and as such the Company has may pay Xxxxxx Xxxxxx Partners LLC fees (in an amount not engaged any placement agent or other agent yet determined) in connection with the sale of the Securitiestransactions contemplated by this Agreement.

Appears in 1 contract

Samples: Securities Purchase Agreement (Acura Pharmaceuticals, Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Freres & Co. LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (SGX Pharmaceuticals, Inc.)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons Persons engaged by or on behalf of any Investor or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Capital Markets Xxxxx and Company, LLC as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Dyadic International Inc)

No General Solicitation; Placement Agent’s Fees. Neither the Company, nor any of its affiliatesAffiliates, nor any Person acting on its or their behalf, has engaged in any form of general solicitation or general advertising (within the meaning of Regulation D) in connection with the offer or sale of the Securities. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, or brokers’ commission (other than for persons engaged by any Investor Buyer or its investment advisor) relating to or arising out of the issuance of the Securities pursuant to this Agreement. The Company shall pay, and hold each Investor Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable attorney’s 's fees and out-of-pocket expenses) arising in connection with any such claim for fees arising out of the issuance of the Securities pursuant to this Agreement. The Company acknowledges that is has engaged Lazard Alere Financial Partners, a division of Cova Capital Markets LLC Partners, LLC, as its lead exclusive placement agent (the “Agent”) in connection with the sale of the Securities. Other than the Agent, the Company has not engaged any placement agent or other agent in connection with the sale of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Nexgel, Inc.)

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