Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NICHOLAS STERGIS
2907465
LADENBURG THALMANN + CO. INC.
505
Companies
Company Name
CERES, INC.
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-09-04
D
$156,011.00
No
$0.00
No
SALES COMMISSIONS RELATES TO COMMISSIONS FOR THE SALE OF COMMON STOCK IN THE CONCURRENT REGISTERED OFFERING. PLACEMENT AGENT ALSO RECEIVED WARRANTS TO PURCHASE 31,970 SHARES OF COMMON STOCK OF THE COMPANY AS PART OF ITS COMPENSATION.
2015-08-06
D
$124,416.00
No
$0.00
No
SALES COMMISSIONS RELATES TO COMMISSIONS FOR THE SALE OF COMMON STOCK IN THE CONCURRENT REGISTERED OFFERING.