RealDealDocs - Find thousands of real agreements and clauses from top US law firms

View Clause Headings                                                                                                                                               HelpHelp
DOCUMENT TITLE:  PLACEMENT AGENCY AGREEMENT .
ACTIONS: Here are the clause headings in the document. To view the clause, click the clause heading.To view the full document, click the "View Document" button.

View Document Back
Clause Heading
1 - Agreement to Act as Placement Agent; Delivery and Payment.
2 - Representations and Warranties of the Company.
(a) - Filing of Registration Statement.
(d) - Incorporated Documents.
(e) - Disclosure Package.
(b) - Effectiveness of Registration Statement; Certain Defined Terms.
(c) - Contents of Registration Statement.
(f) - Distributed Materials; Conflict with Registration Statement.
(g) - Issuer Free Writing Prospectuses.
(h) - Not an Ineligible Issuer.
(i) - Due Incorporation.
(j) - Subsidiaries.
(k) - Due Authorization and Enforceability.
(l) - The Shares.
(m) - Capitalization.
(n) - No Conflict.
(o) - No Consents Required.
(p) - Preemptive Rights.
(q) - Registration Rights.
(r) - Independent Accountants.
(s) - Financial Statements.
(t) - Absence of Material Changes.
(u) - Legal Proceedings.
(v) - No Violation.
(w) - Permits.
(x) - Not an Investment Company.
(y) - No Price Stabilization.
(z) - Good Title to Property.
(aa) - Intellectual Property Rights.
(bb) - No Labor Disputes.
(cc) - Taxes.
(dd) - ERISA.
(ee) - Compliance with Environmental Laws.
(ff) - Insurance.
(gg) - Accounting Controls.
(hh) - Disclosure Controls.
(ii) - Minute Books.
(jj) - Contracts; Off-Balance Sheet Interests.
(kk) - No Undisclosed Relationships.
(ll) - Brokers Fees.
(mm) - Forward-Looking Statements.
(nn) - NASDAQ; Exchange Act Registration.
(oo) - Sarbanes-Oxley Act.
(pp) - Foreign Corrupt Practices.
(qq) - Affiliate Transactions.
(rr) - Statistical or Market-Related Data.
(ss) - Money Laundering Laws.
(tt) - OFAC.
(uu) - Rated Securities.
(vv) - FINRA Affiliations.
(ww) - Exchange Act Requirements.
(xx) - Criminal Proceedings.
(yy) - Non-public Information.
3 - Representations and Warranties of the Selling Stockholder.
(a) - Due Authorization and Enforceability.
(b) - The Shares.
(c) - No Conflict.
(d) - No Consents Required.
(e) - No Price Stabilization.
4 - Covenants of the Company.
(a) - Reporting Obligations; Exchange Act Compliance.
(c) - Issuer Free Writing Prospectuses.
(d) - Conflicting Issuer Free Writing Prospectus.
(e) - Earnings Statement.
(f) - Public Communications.
(g) - Stabilization.
(h) - Transfer Agent.
(i) - Listing.
(j) - Sarbanes-Oxley Act.
(k) - Periodic Reports.
5 - Covenants of the Selling Stockholder.
(a) - Issuer Free Writing Prospectuses.
(b) - Public Communications.
(c) - Stabilization.
(d) - Lock-Up Period.
(e) - Waiver of Registration Rights.
(f) - Tax Reporting.
6 - Costs and Expenses.
7 - Conditions of Canaccords Obligations.
(a) - Filings with the Commission.
(b) - No Stop Orders.
(c) - Action Preventing Sale.
(d) - Material Adverse Change.
(e) - Representations and Warranties.
(f) - Opinions of Counsel to the Company.
(g) - Accountants Comfort Letters.
(h) - Bring-Down Letters.
(j) - Selling Stockholders Certificate.
(k) - NASDAQ.
(l) - No FINRA Objection.
(i) - Officers Certificate.
(m) - Subscription Agreements.
(n) - Additional Documents.
(a) - Indemnification of Canaccord by the Company.
(b) - Indemnification of Canaccord by the Selling Stockholder.
(c) - Indemnification of the Company and the Selling Stockholder.
(d) - Notice and Procedures.
(e) - Contribution.
(f) - Allocation.
(g) - Representations and Agreements to Survive Delivery.
9 - Information Furnished by Canaccord.
10 - Termination.
(d) - Waiver.
11 - Notices.
12 - Persons Entitled to Benefit of Agreement.
13 - Governing Law; Submission to Jurisdiction.
14 - No Fiduciary Relationship.
(a) - No Other Relationship.
(b) - Arms-Length Negotiations.
(c) - Absence of Obligation to Disclose.
15 - Headings.
16 - Amendments and Waivers.
17 - Counterparts.
18 - Research Analyst Independence.
19 - Entire Agreement.
20 - Partial Unenforceability.
21 - Effectiveness.