Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
JENNINGS CAPITAL (U.S.A.) INC.
141191
JENNINGS CAPITAL INC.
NONE
JENNINGS CAPITAL INC.
NONE
JENNINGS CAPITAL (USA) INC.
141191
JENNINGS CAPITAL (U.S.A.) INC.
141191
JENNINGS CAPITAL INC.
NONE
NONE
NONE
JENNINGS CAPITAL (U.S.A.) INC.
141191
JENNINGS CAPITAL (USA) INC.
141191
JENNINGS CAPITAL INC.
NONE
JENNINGS CAPITAL (USA) INC.
141191
JENNINGS CAPITAL INC.
NONE
JENNINGS CAPITAL (USA) INC.
141191
JENNINGS CAPITAL INC.
NONE
JENNINGS CAPITAL (USA) INC.
141191
JENNINGS CAPITAL INC.
NONE
NONE
NONE
JENNINGS CAPITAL (USA) INC.
141191
NONE
NONE
JENNINGS CAPITAL (USA) INC.
141191
JENINGS CAPITAL INC.
NONE
JENNINGS CAPITAL (USA) INC.
141191
NONE
NONE
JENNINGS CAPITAL INC.
141191
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$4,830.00
No
$0.00
No
AGENTS ALSO MAY RECEIVE COMPENSATION OPTIONS FOR UP TO 1,466 COMMON SHARES. EACH OPTION MAY BE EXERCISED FOR 1 COMMON SHARE AT A PRICE OF CDN$3.50 OR GREATER PER SHARE FOR 18 MONTHS FOLLOWING CLOSING DATE.
D
$298,050.00
No
$0.00
No
IN ADDITION TO CASH, AGENTS MAY ALSO RECEIVE UP TO 101,855 COMPENSATION UNIT OPTIONS. EACH COMPENSATION UNIT OPTION MAY BE EXECUTED FOR 1 UNIT AT A PRICE OF CDN$3.05 PER UNIT FOR A PERIOD OF 24 MONTHS FOLLOWING CLOSING.
D
$1,008,060.00
No
$0.00
No
THE AGENTS RECEIVED A COMMISSION EQUAL TO 6.0% OF THE AGGREGATE GROSS PROCEEDS, AND ARE ALSO ENTITLED TO A COMMISSION EQUAL TO 6.0% FROM THE NON-BROKERED PLACEMENT (AS DEFINED IN THE AGENCY AGREEMENT DATED 2-12-2010).
D
$178,500.00
No
$0.00
No
SALES COMMISSIONS ARE IN CANADIAN DOLLARS. IN ADDITION TO THE CASH AMOUNT LISTED ABOVE, THE RECIPIENT ALSO RECEIVED 357,000 BROKER WARRANTS. EACH BROKER WARRANT ENTITLES THE HOLDER TO ACQUIRE ONE SHARE AT AN EXERCISE PRICE OF $.50 FOR 24 MONTHS FOLLOWING.
D
$250,227.00
No
$0.00
No
AMOUNT STATED ABOVE IS TOTAL AMOUNT OF COMMISSIONS PAID ON SALES IN THE U.S. IN U.S. DOLLARS (USING THE EXCHANGE RATE ON 9/29/09); PLACEMENT AGENT ALSO RECEIVED WARRANTS TO PURCHASE A NUMBER OF UNITS EQUAL TO 5% OF SECURITIES SOLD IN U.S. AT DEAL PRICE.
D
$155,494.00
No
$0.00
No
AGENTS ALSO RECEIVED 360,000 WARRANTS EXERCISABLE FOR COMMON STOCK @ CDN$.65 FOR 18 MONTHS FOLLOWING THE CLOSING DATE.
D
$73,364.00
No
$0.00
No
ALSO RECEIVED 75,010 WARRANTS EXERCISABLE @ $1.15/COMMON FOR 24 MONTHS
D
$163,968.00
No
$0.00
No
AGENTS ALSO RECEIVED 409,542 WARRANTS TO PURCHASE UNITS (COMPRISED OF A SHARE AND A HALF-SHARE WARRANT) EXPIRING ON MARCH 24, 2011 AT A PRICE OF CDN$0.50.
