Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
PATRICK KO
2274166
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
FT GLOBAL CAPITAL, INC.
141294
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
FT GLOBAL CAPITAL, INC.
141294
FT GLOBAL CAPITAL, INC.
141294
NONE
NONE
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$261,865.00
No
$0.00
No
INCLUDES A FEE OF $261,865.12 (8% OF THE GROSS PROCEEDS FROM THE CONCURRENT PUBLIC OFFERING OF $3.27 MILLION), $90,000 IN EXPENSE REIMBURSEMENT, AND WARRANTS TO PURCHASE UP TO 74,394 COMMON SHARES OF THE ISSUER, INCLUDED IN ITEM 13.
D
$1,580,000.00
Yes
$0.00
No
THE PLACEMENT AGENT RECEIVED A FEE OF 7.5% OF THE GROSS PROCEEDS AND REIMBURSEMENT OF $80,000.
D
$375,000.00
No
$0.00
No
FT GLOBAL RECEIVED IN CASH OF 7.5% OF THE PROCEEDS RAISED IN THE OFFERING, WARRANTS TO PURCHASE 7.5% OF THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF THE SERIES A PREFERRED STOCK SOLD IN THE OFFERING AND $60,000 IN CASH AS EXPENSE REIMBURSEMENT.
D
$0.00
No
$0.00
No
IN CONNECTION WITH THE REGISTERED OFFERING OF THE ISSUER-S SECURITIES, THE PLACEMENT AGENT-S FEES AND EXPENSES TOTALED $424,575. THE ISSUER ALSO ISSUED PLACEMENT AGENT WARRANTS ENTITLING THE PLACEMENT AGENT TO PURCHASE 314,500 ORDINARY SHARES. NO OTHER FE
D
$0.00
No
$0.00
No
THE PLACEMENT AGENT RECEIVED A FEE AND EXPENSES OF 619,220 FROM THE RD. IT ALSO RECEIVED WARRANTS TO PURCHASE 358,000 SHARES. NO SEPARATE COMMISSION WAS PAID FOR THE WARRANTS PRIVATE PLACEMENT.
D
$4,200,000.00
No
$0.00
No
REPRESENTS 6% OF THE GROSS PROCEEDS FROM THE CONCURRENT REGISTERED DIRECT OFFERING OF $70.0 MILLION. ISSUER ALSO ISSUED PLACEMENT AGENT WARRANTS (AS DESCRIBED IN ITEM 13) TO PURCHASE UP TO 446,999 SHARES, EXERCISABLE AT A PRICE OF $9.204 PER SHARE.
D
$616,080.00
No
$0.00
No
INCLUDES A FEE OF $586,080 (8% OF THE GROSS PROCEEDS FROM THE CONCURRENT PUBLIC OFFERING OF $7.326 MILLION), $30,000 IN EXPENSE REIMBURSEMENT, AND WARRANTS TO PURCHASE UP TO 396,000 COMMON SHARES OF THE ISSUER, INCLUDED IN ITEM 13.
D
$300,000.00
No
$0.00
No
THIS ITEM 15 REFLECTS THE CASH FEE PAID TO FT GLOBAL CAPITAL. ISSUER ALSO ISSUED WARRANTS (AS DESCRIBED IN ITEM 13) TO FT GLOBAL TO PURCHASE UP TO 391,304 ORDINARY SHARES OF ISSUER AND AGREED TO PAY CERTAIN OF FT GLOBAL-S EXPENSES.
D
$224,000.00
No
$0.00
No
IN ADDITION, THE ISSUER ISSUED A WARRANT TO PURCHASE 260,960 ORDINARY SHARES OF THE ISSUER TO THE PLACEMENT AGENT AT AN INITIAL EXERCISE PRICE OF $1.25 PER SHARE AND PAID $60,000 FOR THE PLACEMENT AGENT-S FEES AND EXPENSES.
D
$525,000.00
No
$0.00
No
IN ADDITION, THE ISSUER ISSUED WARRANTS TO PURCHASE 10% OF THE SHARES PLACED UNDER THE NOTE (INITIALLY 119,808) TO THE PLACEMENT AGENT AT AN EXERCISE PRICE OF $7.183 PER SHARE, AND PAID $25,000 FOR THE PLACEMENT AGENT-S LEGAL FEES.
D
$180,000.00
No
$0.00
No
RODMAN + RENSHAW, LLC RECEIVED $144,000 IN CASH AND WARRANTS TO PURCHASE 53,333 SHARES OF COMMON STOCK. FT GLOBAL CAPITAL, INC. RECEIVED $36,000 IN CASH AND WARRANTS TO PURCHASE 13,333 SHARES OF COMMON STOCK.
D
$700,000.00
Yes
$0.00
No
AGGREGATE FEES PAID AS COMPENSATION FOR PLACEMENT AGENT SERVICES IN CONNECTION WITH THE OFFERING CONSISTED OF $700,000 IN CASH AND 80,000 WARRANTS TO PURCHASE SHARES OF KANDI TECHNOLOGIES, CORP. COMMON STOCK, SUBJECT TO CERTAIN ADJUSTMENTS.
