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 the Initial Shareholders 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, the Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 25 contracts

Samples: Underwriting Agreement (Alphatime Acquisition Corp), Underwriting Agreement (Alphatime Acquisition Corp), Underwriting Agreement (Gardiner Healthcare Acquisitions Corp.)

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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 agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the any Initial Shareholders 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 23 contracts

Samples: Underwriting Agreement (TradeUP Acquisition Corp.), Underwriting Agreement (Good Works II Acquisition Corp.), Underwriting Agreement (TradeUP Acquisition 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 the Initial Shareholders Sponsor 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, the Initial Shareholders Sponsor that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 22 contracts

Samples: Underwriting Agreement (RichSpace Acquisition Corp.), Underwriting Agreement (RichSpace Acquisition Corp.), Underwriting Agreement (Phoenix Acquisition LTD)

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 the Initial Shareholders 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, the Initial Shareholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 22 contracts

Samples: Underwriting Agreement (Mountain Crest Acquisition Corp.), Underwriting Agreement (Mountain Crest Acquisition Corp.), Underwriting Agreement (Mountain Crest Acquisition Corp.)

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 14 contracts

Samples: Underwriting Agreement (Arowana Inc.), Underwriting Agreement (Barington/Hilco Acquisition Corp.), Underwriting Agreement (Barington/Hilco Acquisition 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 agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the any Initial Shareholders Stockholder 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, the any Initial Shareholders Stockholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 13 contracts

Samples: Underwriting Agreement (99 Acquisition Group Inc.), Underwriting Agreement (99 Acquisition Group Inc.), Warrant Agreement (Biotech Group Acquisition 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 the Initial Shareholders Shareholder 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, the Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 13 contracts

Samples: Underwriting Agreement (Flag Ship Acquisition Corp), Underwriting Agreement (Metal Sky Star Acquisition Corp), Underwriting Agreement (Flag Ship Acquisition 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 agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the any Initial Shareholders Shareholder 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 12 contracts

Samples: Underwriting Agreement (Fortune Joy International Acquisition Corp), Underwriting Agreement (Fortune Joy International Acquisition Corp), Underwriting Agreement (Fortune Joy International Acquisition Corp)

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 11 contracts

Samples: Underwriting Agreement (Infinity Cross Border Acquisition Corp), Underwriting Agreement (Infinity Cross Border Acquisition Corp), Underwriting Agreement (Infinity Cross Border Acquisition Corp)

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 the any Initial Shareholders 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 11 contracts

Samples: Underwriting Agreement (Trident Acquisitions Corp.), Underwriting Agreement (Trident Acquisitions Corp.), Underwriting Agreement (Trident Acquisitions 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 the Initial Shareholders Stockholders 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, the Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 9 contracts

Samples: Underwriting Agreement (Welsbach Technology Metals Acquisition Corp.), Underwriting Agreement (Welsbach Technology Metals Acquisition Corp.), Underwriting Agreement (Chardan Nextech Acquisition Corp.)

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 the Initial Shareholders any officer and director 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, the Initial Shareholders any officer and director that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 7 contracts

Samples: Warrant Agreement (I-Am CAPITAL ACQUISITION Co), Underwriting Agreement (I-Am CAPITAL ACQUISITION Co), Underwriting Agreement (I-Am CAPITAL ACQUISITION Co)

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. 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 the Initial Shareholders any Company Affiliate 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 7 contracts

Samples: Underwriting Agreement (Korea Milestone Acquisition CORP), Underwriting Agreement (Korea Milestone Acquisition CORP), Underwriting Agreement (Chardan 2008 China Acquisition Corp.)

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 agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the Initial Shareholders Sponsor 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, the Initial Shareholders that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 5 contracts

Samples: Underwriting Agreement (AXIOS Sustainable Growth Acquisition Corp), Underwriting Agreement (AXIOS Sustainable Growth Acquisition Corp), Underwriting Agreement (Edoc Acquisition 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 the any Initial Shareholders 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, the any Initial Shareholders Stockholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 4 contracts

Samples: Warrant Agreement (Asia Special Situation Acquisition Corp), Underwriting Agreement (BBV Vietnam S.E.A. Acquisition Corp.), Warrant Agreement (Asia Special Situation Acquisition 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 the Initial Shareholders 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, the Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 4 contracts

Samples: Underwriting Agreement (Venus Acquisition Corp), Underwriting Agreement (Greencity Acquisition Corp), Underwriting Agreement (Greencity Acquisition Corp)

Transactions Affecting Disclosure to Finra. 2.18.1 Except as described in the Preliminary Prospectus and/or the Prospectus, there 2.18.1. 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 4 contracts

Samples: Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II)

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 Company, its officers or the directors, or any Initial Shareholders 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 4 contracts

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

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.. EarlyBirdCapital, Inc. October __, 2013

Appears in 3 contracts

Samples: Underwriting Agreement (Quartet Merger Corp.), Underwriting Agreement (Quartet Merger Corp.), Underwriting Agreement (Quartet Merger 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 the Initial Shareholders Sponsor 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, the Initial Shareholders Sponsor that may affect the Underwriters’ compensation, as determined defined by FINRA.

Appears in 3 contracts

Samples: Underwriting Agreement (Hainan Manaslu Acquisition Corp.), Underwriting Agreement (Hainan Manaslu Acquisition Corp.), Underwriting Agreement (Hainan Manaslu Acquisition Corp.)

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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 the any Initial Shareholders 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 3 contracts

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

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 3 contracts

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

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Sale 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 the any Initial Shareholders 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, the any Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Megalith Financial Acquisition Corp), Underwriting Agreement (Megalith Financial Acquisition Corp)

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. 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 the Initial Shareholders any 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, the Initial Shareholders Stockholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (United Refining Energy Corp), Underwriting Agreement (United Refining Energy Corp)

Transactions Affecting Disclosure to Finra. 2.18.1 (i) 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 the Initial Shareholders 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, the Initial Shareholders that may affect the Underwriters’ Underwriter’s compensation, as determined by FINRA.

Appears in 2 contracts

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

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 the Initial Shareholders Stockholders 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, the Initial Shareholders Stockholders that may affect the Underwriters’ compensation, as determined defined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Redwoods Acquisition Corp.), Underwriting Agreement (Redwoods Acquisition 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 the Initial Shareholders any Insider 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

Samples: Underwriting Agreement (Vision Sensing Acquisition Corp.), Vision Sensing Acquisition Corp.

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 the Initial Shareholders 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, the Initial Shareholders Shareholder that may affect the Underwriters’ compensation, as determined by FINRA.

Appears in 2 contracts

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

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.. EarlyBirdCapital, Inc. October 14, 2015

Appears in 1 contract

Samples: Underwriting Agreement (Pacific Special Acquisition Corp.)

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 agreements, letters of intent, engagement letters or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or the Initial Shareholders Co-Sponsors 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, the Initial Shareholders that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 1 contract

Samples: Underwriting Agreement (Financial Strategies Acquisition Corp.)

Transactions Affecting Disclosure to Finra. 2.18.1 2.18.1. Except as described in the Preliminary Registration Statement, the Statutory 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 the Initial Shareholders any Company Affiliate 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, the Initial Shareholders any Insider that may affect the Underwriters’ compensation, as determined by FINRA.. EarlyBirdCapital, Inc. , 2014

Appears in 1 contract

Samples: Underwriting Agreement (DT Asia Investments LTD)

Transactions Affecting Disclosure to Finra. 2.18.1 2.17.1 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 the any Initial Shareholders Stockholder 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, the any Initial Shareholders Stockholder that may affect the Underwriters’ compensation, as determined by the FINRA.

Appears in 1 contract

Samples: Warrant Agreement (Biotech Group Acquisition Corp)

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