Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DALE E. RUDOW
5301920
COHEN + COMPANY CAPITAL MARKETS, LLC
144981
RYAN P. MCGAVER
4934679
COHEN + COMPANY CAPITAL MARKETS, LLC
144981
COHEN + COMPANY CAPITAL MARKETS, LLC
144981
COHEN + COMPANY CAPITAL MARKETS, LLC
144981
ROBERT BLAKE MURPHY
144981
CUTTONE + CO., INC.
33038
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2012-04-05
D
$75,000.00
No
$0.00
No
2012-04-05
D
$75,000.00
No
$0.00
No
2011-10-28
D
$600,000.00
No
$0.00
No
ASSUMES ASPIRE CAPITAL FUND, LLC PURCHASES $20 MILLION OF KIPS BAY COMMON STOCK DURING THE TERM OF THIS OFFERING.
2011-04-20
D
$88,075.00
No
$0.00
No
COHEN + COMPANY ALSO RECEIVED 208,462 WARRANTS FOR COMMON STOCK IN THE COMPANY AS COMPENSATION. BECAUSE THE EXERCISE PRICE ON THESE WARRANTS CURRENTLY EXCEEDS THE PRICE PER SHARE, WE HAVE NOT ATTRIBUTED ANY VALUE TO SUCH WARRANTS AS A COMMISSION.