Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
UNIVEST SECURITIES LLC
000036105
NONE
NONE
UNIVEST SECURITIES, LLC
000036105
NONE
NONE
UNIVEST SECURITIES LLC
000036105
NONE
NONE
UNIVEST SECURITIES, LLC
000036105
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-05-20
D
$1,225,000.00
Yes
$0.00
Yes
2026-05-01
D
$1,250,000.00
Yes
$0.00
Yes
SALES COMMISSIONS INCLUDE A PLACEMENT AGENT FEE OF $1,200,000.00 (CALCULATED BASED ON 8% OF 15,000,000, WHICH IS THE PURCHASE PRICE FOR ONE OF THE NOTES), AND ACCOUNTABLE EXPENSES OF $50,000.
2025-08-29
D
$200,000.00
No
$950,020.00
Yes
SALES COMMISSION INCLUDES CASH COMPENSATION OF $200,000.
2025-08-15
D
$210,000.00
No
$0.00
No
2025-08-13
D
$0.00
Yes
$0.00
Yes
NO SALES COMMISSION OR FINDER-S FEES
2025-07-24
D
$1,540,000.00
Yes
$0.00
No
UNIVEST SECURITIES, LLC ("UNIVEST") ACTED AS THE PLACEMENT AGENT IN CONNECTION WITH THE OFFERING. UNIVEST WILL RECEIVE A FEE OF $40,000 PLUS A SALES COMMISSION EQUAL TO 1.5% OF THE GROSS PROCEEDS.
2025-05-14
D
$335,000.00
No
$0.00
No
THE $335,000 REPRESENTS THE TOTAL OF 7% OF AGGREGATE GROSS PROCEEDS ($4,500,000 X 0.07) + REIMBURSEMENT UP TO $20,000.
2025-04-17
D
$70,000.00
No
$0.00
No
2025-04-16
D
$5,524,000.00
No
$0.00
No
SALES COMMISSION INCLUDES CASH COMPENSATION OF $2,080,000 AND COMMON STOCK PURCHASE WARRANTS TO PURCHASE 2,224,806 SHARES OF COMMON STOCK AT AN EXERCISE PRICE OF $1.548 PER SHARE.
2024-11-22
D
$408,000.00
No
$0.00
No
2024-10-30
D
$140,000.00
No
$0.00
No
2024-09-20
D
$2,162,911.00
No
$0.00
No
SALES COMMISSION INCLUDES CASH COMPENSATION OF $887,500 AND COMMON STOCK PURCHASE WARRANTS TO PURCHASE 202,768 SHARES OF COMMON STOCK AT AN EXERCISE PRICE OF $6.29 PER SHARE.