Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
A.G.P. / ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P. / ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P. / ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
ALLIANCE GLOBAL PARTNERS, LLC
000008361
A.G.P. / ALLIANCE GLOBAL PARTNERS
000008361
AGP CANADA INVESTMENTS ULC
NONE
NONE
NONE
ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
A.G.P. CANADA INVESTMENTS ULC
NONE
NONE
NONE
A.G.P./ALLIANCE GLOBAL PARTNERS
000008361
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$524,989.00
No
$0.00
No
THE PLACEMENT AGENT ALSO RECEIVED $50,000 ACCOUNTABLE OUT-OF-POCKET LEGAL EXPENSES.
D
$1,576,750.00
No
$0.00
No
CASH PAYMENT EQUAL TO 7.0% OF GROSS PROCEEDS, PLUS UP TO $75,000 REIMBURSEMENT FOR FEES AND EXPENSES AND $15,000 FOR NON-ACCOUNTABLE EXPENSES.
D
$8,815.00
No
$0.00
No
NON-CASH COMPENSATION INCLUDED 16,000 BROKER WARRANTS, EACH OF WHICH IS EXERCISABLE TO BUY ONE COMMON SHARE OF THE ISSUER AT AN EXERCISE PRICE OF C$1.15 FOR A TERM OF 36 MONTHS.
D
$0.00
Yes
$0.00
No
PLACEMENT AGENT WILL RECEIVE CASH COMPENSATION NOT EXCEEDING 7% OF THE GROSS OFFERING PROCEEDS
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D
$308,000.00
Yes
$0.00
No
A.G.P/ALLIANCE GLOBAL PARTNERS LP WAS PAID BY THE ISSUER A CASH FEE EQUAL TO 7.0% OF THE AGGREGATE GROSS PROCEEDS RECEIVED UPON EXERCISE OF THE EXISTING REGISTERED WARRANTS AND REIMBURSEMENT OF CERTAIN EXPENSES.
D
$78,504.00
No
$0.00
No
NON-CASH COMPENSATION INCLUDED 62,794 COMPENSATION WARRANTS, EACH GIVING THE RIGHT TO PURCHASE ONE COMMON SHARE OF THE ISSUER AT AN EXERCISE PRICE OF CAD$1.05 PER SHARE FOR FOUR YEARS.
D
$96,338.00
No
$0.00
No
THE COMPANY WILL PAY A.G.P./ALLIANCE GLOBAL PARTNERS AN 8.0% CASH FEE ON GROSS PROCEEDS FROM THE WARRANT EXERCISE.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D
$761,511.00
No
$0.00
No
A.G.P. RECEIVED A CASH COMMISSION OF $761,511 USD AND 698,165 WARRANTS, EXERCISABLE FOR ONE UNIT AT C$1.57. EACH UNIT CONSISTS OF ONE CLASS A SUBORDINATE VOTING SHARE AND 1/2 OF ONE WARRANT. EACH WHOLE WARRANT IS EXERCISABLE FOR ONE SHARE AT C$1.96.
D
$320,000.00
No
$0.00
No
THE BENCHMARK COMPANY LLC ACTED AS THE EXCLUSIVE PLACEMENT AGENT FOR THE PRIVATE PLACEMENT AND THE COMPANY PAID THEM A CASH FEE. ALSO, THE COMPANY ENGAGED A.G.P./ALLIANCE GLOBAL PARTNERS AS FINANCIAL ADVISOR AND PAID THEM AN EXPENSE FEE AND A CASH FEE.
D
$23,346.00
No
$0.00
No
A.G.P. RECEIVED A 6.5% CASH COMMISSION OF US$23,346 AND 65,000 WARRANTS, EACH EXERCISABLE FOR 1 UNIT AT C$0.50. EACH UNIT CONSISTS OF 1 CLASS A SUBORDINATE VOTING SHARE AND 1/2 OF 1 WARRANT, WITH EACH WHOLE WARRANT EXERCISABLE FOR 1 SHARE AT C$0.70.
D
$384,990.00
No
$0.00
No
IN CONNECTION WITH THE OFFERING, THE PLACEMENT AGENT RECEIVED A CASH PLACEMENT FEE EQUAL TO 7.0% OF THE GROSS PROCEEDS RECEIVED FROM THE SALE OF THE SECURITIES SOLD IN THE REGISTERED DIRECT OFFERING AND THE PRIVATE PLACEMENT, AMONG OTHER ITEMS.
D
$175,000.00
No
$0.00
No
$52,500 OF THE REPORTED SALES COMMISSION WAS PAID TO A.G.P./ALLIANCE GLOBAL PARTNERS AND $122,500 OF THE REPORTED SALES COMMISSION WAS PAID TO LAIDLAW + COMPANY (UK) LTD.
D
$156,450.00
No
$0.00
No
THE COMPANY PAID A PLACEMENT AGENT-S FEE EQUAL TO 3.5% OF THE AGGREGATE GROSS PROCEEDS RAISED FROM THE SALE OF THE SECURITIES SOLD PURSUANT TO THE OFFERING, TO BE PAID BY WAY OF A $50,000 CASH FEE AND 70,964 OF THE ORDINARY SHARES OF THE COMPANY.
