Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
RODMAN + RENSHAW, LLC
000281264
NONE
NONE
RODMAN + RENSHAW LLC
000281264
NONE
NONE
RODMAN + RENSHAW LLC
000281264
NONE
NONE
RODMAN + RENSHAW, LLC
000281264
NONE
NONE
RODMAN + RENSHAW, LLC
000281264
NONE
NONE
RODMAN + RENSHAW LLC
000281264
NONE
NONE
RODMAN + RENSHAW LLC
000281264
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-02-11
D
$2,320,500.00
No
$0.00
No
2025-10-22
D/A
$439,090.00
No
$0.00
No
RODMAN IS ENTITLED TO RECEIVE A CASH FEE EQUAL TO 7% OF THE AGGREGATE GROSS PROCEEDS, A MANAGEMENT FEE OF 1.0% OF THE AGGREGATE GROSS PROCEEDS AND FINANCIAL ADVISOR WARRANTS TO PURCHASE UP TO 153,918 SHARES OF COMMON STOCK.
2025-09-15
D
$126,397.00
No
$0.00
No
7% CASH FEE + 1% MGMT. FEE TO HCW/RODMAN ON WARRANT EXERCISE PROCEEDS. IN ADDITION, $25,000 FOR NON-ACCOUNTABLE EXPENSES. HCW/RODMAN AGENT WARRANTS INCLUDED IN ITEM 13.
2025-09-05
D
$630,000.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENTS (OR THEIR DESIGNEES) WARRANTS TO PURCHASE UP TO 126,000 SHARES AT AN EXERCISE PRICE OF $5.00 (SUBJECT TO PRICE-BASED ADJUSTMENT) UNDER SECTION 4(A)(2)
2025-08-29
D
$362,501.00
No
$0.00
No
2025-07-08
D
$140,000.00
No
$0.00
No
2024-07-26
D
$70,000.00
No
$0.00
No