Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
CHARLES WORTHMAN
5160596
H.C. WAINWRIGHT AND CO., LLC
375
H.C. WAINWRIGHT + CO., LLC
375
CHARLES WORTHMAN
5160596
CHARLES WORTHMAN
5160596
H.C. WAINWRIGHT + CO., LLC
375
H.C. WAINWRIGHT + CO., LLC
375
CHARLES WORTHMAN
5160596
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D
$350,000.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 109,091 ORDINARY SHARES EXERCISABLE AT $3.4375 PER SHARE. ISSUER REIMBURSED PLACEMENT AGENT AND ITS AFFILIATES $100,950 FOR CERTAIN EXPENSES.
D
$630,000.00
Yes
$0.00
No
IN CONNECTION WITH THE REGISTERED DIRECT OFFERING, THE PLACEMENT AGENT RECEIVED $630,000.33, AND WARRANTS TO PURCHASE UP TO 156,522 SHARES OF COMMON STOCK EXERCISABLE AT $5.0313 PER SHARE, AMONG OTHER ITEMS.
D
$424,470.00
Yes
$0.00
No
FOR INDUCEMENT AND ORDINARY WARRANT EXERCISES, THE PLACEMENT AGENT RECEIVED $424,470 AND COMMON STOCK PURCHASE WARRANTS FOR UP TO (I) 118,852 SHARES EXERCISABLE AT $3.25 PER SHARE AND (II) 49,130 SHARES EXERCISABLE AT $2.9375 PER SHARE, AMONG OTHER ITEMS.
D
$436,753.00
Yes
$0.00
No
IN CONNECTION WITH THE WARRANT INDUCEMENT TRANSACTION, THE PLACEMENT AGENT RECEIVED $436,753.41, AND WARRANTS TO PURCHASE UP TO 167,982 SHARES OF COMMON STOCK EXERCISABLE AT $3.25 PER SHARE, AMONG OTHER ITEMS.
D
$165,550.00
Yes
$0.00
No
IN CONNECTION WITH THE REGISTERED DIRECT OFFERING, THE PLACEMENT AGENT RECEIVED $165,550.02, AND WARRANTS TO PURCHASE UP TO 94,871 SHARES OF COMMON STOCK EXERCISABLE AT $2.1813 PER SHARE, AMONG OTHER ITEMS.
D
$280,000.00
Yes
$0.00
No
IN CONNECTION WITH THE REGISTERED DIRECT OFFERING CONCURRENT WITH THIS PRIVATE PLACEMENT, THE PLACEMENT AGENT RECEIVED $280,000.07, AND WARRANTS TO PURCHASE UP TO 169,697 SHARES OF COMMON STOCK EXERCISABLE AT $2.0625 PER SHARE, AMONG OTHER ITEMS.
D
$2,769,938.00
No
$0.00
No
ISSUER ISSUED TO PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 960,811 ORDINARY SHARES AT AN EXERCISE PRICE OF $2.5438 UNDER SECTION 4(A)(2). ISSUER REIMBURSED PLACEMENT AGENT AND ITS AFFILIATES $140,950 FOR CERTAIN EXPENSES.
D
$3,400,000.00
No
$0.00
No
THE ISSUER ISSUED UNDER SECTION 4(A)(2) TO THE PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 655,290 ORDINARY SHARES AT AN EXERCISE PRICE OF $4.578125. THE ISSUER REIMBURSED THE PLACEMENT AGENT $125,000 FOR CERTAIN EXPENSES.
D
$680,000.00
No
$0.00
No
THE ISSUER ISSUED UNDER SECTION 4(A)(2) TO THE PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 334,787 ORDINARY SHARES AT AN EXERCISE PRICE OF $1.7922. THE ISSUER REIMBURSED THE PLACEMENT AGENT $125,000 FOR CERTAIN EXPENSES.
D
$765,001.00
No
$0.00
No
ADDITIONALLY, THE ISSUER ISSUED TO THE PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 296,297 ORDINARY SHARES AT AN EXERCISE PRICE OF $2.2781. THE ISSUER ALSO AGREED TO PAY THE PLACEMENT AGENT APPROXIMATELY $72,900 FOR CERTAIN EXPENSES.
D
$922,249.00
No
$0.00
No
THE ISSUER ISSUED TO THE PLACEMENT AGENT WARRANTS TO PURCHASE UP TO 87,880 ORDINARY SHARES AT AN EXERCISE PRICE OF $9.375. THE ISSUER AGREED TO REIMBURSE THE PLACEMENT AGENT FOR EXPENSES UP TO $50,000, TO BE SPLIT WITH THE JUNE 6, 2019 WARRANTS.
D
$11,475.00
No
$0.00
No
THE ISSUER ISSUED TO THE PLACEMENT AGENT WARRANTS TO PURCHASE UP TO 87,880 ORDINARY SHARES AT AN EXERCISE PRICE OF $9.375. THE ISSUER AGREED TO REIMBURSE THE PLACEMENT AGENT FOR EXPENSES UP TO $50,000, TO BE SPLIT WITH THE JUNE 5, 2019 WARRANTS.
D
$425,000.00
No
$0.00
No
ADDITIONALLY, THE ISSUER ISSUED TO THE PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 50,000 ORDINARY SHARES AT AN EXERCISE PRICE OF $7.50. THE ISSUER ALSO AGREED TO REIMBURSE THE PLACEMENT AGENT FOR EXPENSES UP TO $80,000.
D
$361,250.00
No
$0.00
No
ADDITIONALLY, THE ISSUER ISSUED TO THE PLACEMENT AGENT (AND ITS DESIGNEES) WARRANTS TO PURCHASE UP TO 49,015 ORDINARY SHARES AT AN EXERCISE PRICE OF $6.503125. THE ISSUER ALSO AGREED TO REIMBURSE THE PLACEMENT AGENT FOR EXPENSES UP TO $75,000.
