Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
DAWSON JAMES SECURITIES, INC.
000130645
NONE
NONE
DAWSON JAMES SECURITIES INC.
000130645
NONE
NONE
DAWSON JAMES SECURITIES, INC.
000130645
DAWSON JAMES SECURITIES, INC.
000130645
DAWSON JAMES SECURITIES, INC.
000130645
NONE
NONE
DAWSON JAMES SECURITIES, INC
000130645
NONE
NONE
RBW CAPITAL PARTNERS, LLC (A DIVISION OF DAWSON JAMES SECURITIES, INC.)
000130645
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$344,800.00
Yes
$0.00
No
DAWSON JAMES SERVED AS PLACEMENT AGENT FOR THE PRIVATE PLACEMENT AND WILL RECEIVE (I) A 4.6% CASH FEE ON GROSS PROCEEDS; (II) $55,000 FOR LEGAL AND OTHER EXPENSES; AND (III) A 7.0% CASH FEE ON PROCEEDS FROM ANY CASH WARRANT EXERCISES.
D
$350,000.00
No
$0.00
No
IN ADDITION TO THE ABOVE CASH FEE, THE PLACEMENT AGENT IS ENTITLED TO WARRANTS FOR 7.5% OF THE SECURITIES PLACED IN THE OFFERING.
D
$473,009.00
Yes
$0.00
No
DAWSON JAMES SERVED AS THE PLACEMENT AGENT IN CONNECTION WITH THE PRIVATE PLACEMENT AND WAS PAID (I) A CASH FEE EQUAL TO 7.0% OF THE AGGREGATE GROSS PROCEEDS RECEIVED AND (II) $50,000 FOR LEGAL FEES AND OTHER OUT-OF-POCKET EXPENSES.
D/A
$1,866,626.00
Yes
$19,107.00
Yes
AMERIPRISE, PALLADIUM AND AMERICAN ENTERPRISE IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$1,060,000.00
Yes
$0.00
Yes
8% OF THE TOTAL GROSS PROCEEDS OF $12,000,000 (OID 20%), AND LEGAL FEES UP TO $100,000 REIMBURSED.
D
$511,592.00
Yes
$0.00
No
REFLECTS CASH FEE OF 7% OF GROSS PROCEEDS FROM WARRANT EXERCISES. DJ WAS ALSO PAID: CASH FEE OF 7% OF AGGREGATE GROSS PROCEEDS FROM CONCURRENT RD; $75,000 FOR LEGAL/OUT-OF-POCKET EXPENSES; AND WARRANTS FOR 693,213 SHARES COMMON STOCK AT EX PRICE $0.8118.
D
$825,000.00
Yes
$0.00
No
DAWSON JAMES SERVED AS THE PLACEMENT AGENT IN CONNECTION WITH THE PRIVATE PLACEMENT AND WAS PAID (I) A CASH FEE EQUAL TO 7.5% OF THE AGGREGATE GROSS PROCEEDS RECEIVED AND (II) UP TO $150,000 FOR LEGAL FEES AND OTHER OUT-OF-POCKET EXPENSES.
D/A
$1,866,626.00
Yes
$19,107.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE MANAGEMENT COMPANY (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D
$700,000.00
No
$0.00
No
PROCEEDS WILL BE USED FOR EXECUTIVE SALARIES. PROCEEDS TO BE USED FOR AN ACQUISITION AND USED FOR WORKING CAPITAL OF ACQUISITION. THE COMPANY-S CEO, IS CEO, DIRECTOR AND SHAREHOLDER OF ACQUISITION BUT AMOUNTS HAVE NOT BEEN INCLUDED IN THE ESTIMATE.
D
$153,000.00
No
$0.00
No
THE SALES COMMISSIONS INCLUDE COMMISSIONS FROM THE POTENTIAL EXERCISE OF ALL WARRANTS ISSUED TO THE INVESTORS IN THE TRANSACTION.
