Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
MIDDLEBURY SECS LLC
122602
CHARLES HALSEY
1200688
NONE
NONE
MIDDLEBURY SECURITIES LLC
122602
AXIOM CAPITAL MANAGEMENT, INC.
26580
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES LLC
122602
ROSEMARIE E. STOFFO
1791605
NONE
NONE
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES LLC
122602
MIDDLEBURY SECURITIES LLC
122602
NONE
NONE
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES LLC
122602
MIDDLEBURY SECURITIES LLC
122602
NONE
NONE
MIDDLEBURY SECURITIES, LLC
122602
NONE
NONE
MIDDLEBURY SECURITIES LLC
122602
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES, LLC
122602
MIDDLEBURY SECURITIES, LLC
122602
NONE
NONE
MIDDLEBURY SECURITIES
122602
NONE
NONE
MIDDLEBURY SECURITIES
122602
JAMES ROBINSON
1651804
MIDDLEBURY SECURITIES
122602
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$400,000.00
Yes
$0.00
No
MIDDLEBURY SECURITIES TO RECEIVE A CASH FREE EQUAL TO 6.5% OF THE GROSS PROCEEDS RAISED (UP TO $400,000) AND A WARRANT TO PURCHASE 3% OF THE SHARES SOLD IN THE OFFERING.
D
$65,000.00
No
$0.00
No
MIDDLEBURY AND PALLADIUM RECEIVED 6% AND 7%, FOR
THEIR $500K PLACEMENTS, RESPECTIVELY.
D
$625,400.00
Yes
$0.00
No
THE SALES COMMISSIONS APPLIES IF THE TOTAL OFFERING AMOUNT IS RAISED. IF LESS MONEY IS RAISED, THE SALES COMMISSIONS WILL BE LESS.
D/A
$528,000.00
Yes
$0.00
No
MIDDLEBURY SECURITIES, LLC IS ENTITLED TO WARRANTS IN ADDITION TO SALES COMMISSION. COMMISSIONS ARE SUBJECT TO FUTURE CONTINGENCIES.
D/A
$440,000.00
Yes
$0.00
No
MIDDLEBURY SECURITIES, LLC IS ENTITLED TO WARRANTS IN ADDITION TO SALES COMMISSION. COMMISSIONS ARE SUBJECT TO FUTURE CONTINGENCIES.
D/A
$560,000.00
Yes
$0.00
No
REPRESENTS 8% OF TOTAL OFFERING AMOUNT. PLACEMENT AGENT MAY ALSO RECEIVE SHARES + WARRANTS UP TO 8% OF THE TOTAL SHARES + WARRANTS INCLUDED IN THE UNITS, WHICH SHARES, WARRANTS + UNDERLYING STOCK ARE INCLUDED IN THIS FORM D.
D
$642,080.00
Yes
$0.00
No
REPRESENTS 8% OF $8,026,000, WHICH IS THE AMOUNT OF SECURITIES ALREADY SOLD FOR NEW MONEY IN THIS OFFERING (I.E. $4,026,000) PLUS THE MAXIMUM AMOUNT OF ADDITIONAL SECURITIES THE ISSUER IS SEEKING TO SELL FOR NEW MONEY UNDER THIS OFFERING (I.E. $4,000,000)
