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Clause Heading
Section 1. - Agreement to Act as Placement Agent.
Section 2. - Representations, Warranties and Covenants of the Company.
(a) - Securities Law Filings.
(b) - Assurances.
(c) - Offering Materials.
(d) - Subsidiaries.
(e) - Organization and Qualification.
(f) - Authorization; Enforcement.
(g) - No Conflicts.
(h) - Filings, Consents and Approvals.
(i) - Issuance of the Securities; Registration.
(j) - Capitalization.
(k) - SEC Reports; Financial Statements.
(l) - Material Changes; Undisclosed Events, Liabilities or Developments.
(m) - Litigation.
(n) - Labor Relations.
(o) - Compliance.
(p) - Regulatory Permits.
(q) - Title to Assets.
(r) - Patents and Trademarks.
(s) - Insurance.
(t) - Transactions With Affiliates and Employees.
(u) - Sarbanes-Oxley; Internal Accounting Controls.
(v) - Certain Fees.
(w) - Investment Company.
(x) - Registration Rights.
(y) - Listing and Maintenance Requirements.
(z) - Application of Takeover Protections.
(aa) - Disclosure.
(bb) - No Integrated Offering.
(cc) - Solvency.
(dd) - Tax Status.
(ee) - Foreign Corrupt Practices.
(ff) - Accountants.
(gg) - Regulation M Compliance.
(hh) - Office of Foreign Assets Control.
(jj) - Bank Holding Company Act.
(kk) - Money Laundering.
(ll) - Certificates.
(mm) - Reliance.
(nn) - FINRA Affiliations.
Section 3. - Delivery and Payment.
Section 4. - Covenants and Agreements of the Company.
(a) - Registration Statement Matters.
(b) - Blue Sky Compliance.
(c) - Amendments and Supplements to a Prospectus Supplement and Other Matters.
(d) - Copies of any Amendments and Supplements to a Prospectus Supplement.
(e) - Free Writing Prospectus.
(f) - Transfer Agent.
(g) - Earnings Statement.
(h) - Periodic Reporting Obligations.
(i) - Additional Documents.
(j) - No Manipulation of Price.
(k) - Acknowledgment.
Section 5. - Conditions of the Obligations of the Placement Agent.
(a) - Accountants Comfort Letter.
(b) - Compliance with Registration Requirements; No Stop Order; No Objection from the FINRA.
(c) - Corporate Proceedings.
(d) - No Material Adverse Change.
(e) - Opinion of Counsel for the Company.
(f) - Officers Certificate.
(g) - Bring-down Comfort Letter.
(h) - Stock Exchange Listing.
Section 10. - Successors.
Section 11. - Partial Unenforceability.
Section 6. - Payment of Expenses.
Section 7. - Indemnification.
Section 8. - Representations and Indemnities to Survive.
Section 9. - Notices.
Section 12. - Governing Law Provisions.
Section 13. - General Provisions.