Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
PAULSON INVESTMENT COMPANY, LLC
000005670
NONE
NONE
PAULSON INVESTMENT COMPANY, LLC
000005670
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$125,000.00
No
$0.00
No
PAULSON IS ALSO ENTITLED TO A FEE EQUAL TO 2.0% OF THE GROSS PROCEEDS, A NON-ACCOUNTABLE EXPENSE OF $15,000, AND 117,647 PLACEMENT AGENT ADSS. THE ISSUANCE OF THE PLACEMENT AGENT ADSS ARE SUBJECT TO RECEIPT OF SHAREHOLDER APPROVAL.
D
$600,000.00
Yes
$0.00
No
THE ISSUER PAID THE PLACEMENT AGENT (I) 12% OF GROSS PROCEEDS IN THE OFFERING, (II) A $25,000 NON-ACCOUNTABLE EXPENSE AND (III) A NUMBER OF WARRANTS EQUAL TO 12% OF THE SHARES ISSUABLE UPON CONVERSION OF THE NOTES SOLD IN THE OFFERING.
D
$157,255.00
Yes
$0.00
No
THE ISSUER PAID PLACEMENT AGENT 7% OF GROSS PROCEEDS + ISSUED PLACEMENT AGENT WARRANTS TO PURCHASE UP TO 147,656 SHARES (EXERCISE PRICE PER SHARE EQUAL TO $1.175) + PAID A NON-ACCOUNTABLE SUM OF $25,000.
