Transactions Affecting Disclosure to Finra. (i) Finder’s Fees. Except as described in the Pricing Disclosure Package and the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, broker’s, agent’s, consulting or origination fee by the Company or any Subsidiary with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or any Subsidiary or, to the Company’s knowledge, any of its shareholders that may affect the Underwriters’ compensation, as determined by FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (SolarMax Technology, Inc.), Underwriting Agreement (SolarMax Technology, Inc.), Underwriting Agreement (SolarMax Technology, Inc.)
Transactions Affecting Disclosure to Finra. (i) 2.18.1. Finder’s Fees. Except as described in the Pricing Disclosure Package and the Prospectus, there There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, broker’s, agent’s, consulting or origination fee by the Company Company, the Subsidiary or any Subsidiary officer or director of the Company with respect to the issuance, sale or delivery of the Public Securities hereunder pursuant hereto or any other arrangements, agreements or understandings of the Company or any the Subsidiary or, to the Company’s knowledge, any of its shareholders that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Novelos Therapeutics, Inc.), Underwriting Agreement (Novelos Therapeutics, Inc.)