Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 8 contracts
Samples: Selected Dealer Agreement (Griffin Capital Essential Asset REIT II, Inc.), Selected Dealer Agreement (NorthStar Real Estate Income II, Inc.), Selected Dealer Agreement (Industrial Property Trust Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise a Xxxxxxx Xxxxx representative in the Ameriprise Xxxxxxx Xxxxx legal department, further, the Company shall prepare and furnish without expense to AmeripriseXxxxxxx Xxxxx, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 5 contracts
Samples: Selected Dealer Agreement (Dividend Capital Diversified Property Fund Inc.), Selected Dealer Agreement (Dividend Capital Diversified Property Fund Inc.), Selected Dealer Agreement (Dividend Capital Diversified Property Fund Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to AmeripriseDealer, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which that will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it the Company by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the CommissionSEC’s Industry Guide 55 (as interpreted by applicable SEC guidance), so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 4 contracts
Samples: Dealer Manager Agreement (Brookfield Real Estate Income Trust Inc.), Dealer Manager Agreement (Oaktree Real Estate Income Trust, Inc.), Adviser Transition Agreement (Oaktree Real Estate Income Trust, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 3 contracts
Samples: Selected Dealer Agreement (Cb Richard Ellis Realty Trust), Selected Dealer Agreement (KBS Real Estate Investment Trust II, Inc.), Selected Dealer Agreement (Behringer Harvard Opportunity REIT II, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 3 contracts
Samples: Selected Dealer Agreement (BLACK CREEK INDUSTRIAL REIT IV Inc.), Selected Dealer Agreement (BLACK CREEK INDUSTRIAL REIT IV Inc.), Selected Dealer Agreement (Resource Apartment REIT III, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company department and shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 2 contracts
Samples: Selected Dealer Agreement, Selected Dealer Agreement (CNL Healthcare Properties, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Securities America representative in the Ameriprise Securities America legal department, further, the Company shall prepare and furnish without expense to AmeripriseSecurities America, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 2 contracts
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.), Selected Dealer Agreement (Industrial Income Trust Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Financial representative in the Ameriprise Financial legal department, further, the Company shall prepare and furnish without expense to AmeripriseAmeriprise Financial, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Industrial Income Trust Inc.), Selected Dealer Agreement (Industrial Income Trust Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise a representative in the Ameriprise Financial legal department, further, the Company shall ; prepare and furnish without expense to Ameriprise, Ameriprise Financial a reasonable number of copies of an amendment or amendments of to the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus Prospectus, so that that, as amended or supplemented it supplemented, the Registration Statement or Prospectus will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within 5 business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (a “Periodic Prospectus Supplement”). In addition, in order to be delivered under comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by agrees to file a post-effective amendment to the Securities Act, as from time Registration Statement each year to time in force, including include the undertaking Company’s audited financial statements and other information contained in the Company’s Registration Statement pursuant to Item 20.D annual report on Form 10-K for that fiscal year (an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in or incorporated by reference into the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 2 contracts
Samples: Selected Dealer Agreement (Corporate Capital Trust, Inc.), Selected Dealer Agreement (Corporate Capital Trust, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, term of this Agreement any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, necessary to amend the Registration Statement or to amend or supplement the Prospectus in order so that the Prospectus will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or which is necessary to make the Prospectus not misleading statements therein, in the light of the circumstances existing at the time it the Prospectus is delivered to an investora potential investor by Ameriprise, not misleading or if it shall be necessary, in the opinion of the Company’s counsel, at any such time is necessary to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities 1933 Act or the Regulations, the Company, as soon as the Company becomes aware that such event requires disclosure, will forthwith promptly notify an a designated Ameriprise representative in the Ameriprise legal department, furthersubject to the existence of a current confidentiality agreement with such Ameriprise representative. Such notice to Ameriprise will be confirmed in writing, and the Company shall prepare will forthwith prepare, file with the Commission and furnish without expense to Ameriprise, without charge, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, Prospectus or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances existing under which they were mademade and at the time the Prospectus is delivered to a potential investor by Ameriprise, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Actterm of this Agreement, the Company shall comply in all material respects with all requirements imposed upon it by the Securities 1933 Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5effect, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and in the Prospectus. For the purposes of this subsection, the Managing Dealer and the Company will furnish such information with respect to themselves as Ameriprise or Ameriprise’s counsel may from time to time reasonably request. Without limiting the generality of the foregoing, within 5 business days after the Company files a Quarterly Report on Form 10-Q or Annual Report on Form 10-K, the Company agrees to file a supplement to the Prospectus which incorporates the financial and other information contained in such Quarterly Report or Annual Report (each, a “Periodic Prospectus Supplement”). In addition, in order to comply with Section 10(a)(3) of the 1933 Act, the Company agrees to file a post-effective amendment to the Registration Statement each year to include the Company’s audited financial statements and other information contained in the Company’s Annual Report on Form 10-K for that fiscal year (each an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the last audited financials contained the in the Registration Statement.
Appears in 1 contract
Samples: Soliciting Dealer Agreement (CNL Income Properties Inc)
Amendments and Supplements. If The Company will advise the Underwriters promptly, and, if requested by the Representatives, will confirm such advice in writing (i) if it is necessary for any post-effective amendment to the Registration Statement to be declared effective before the offering of the Shares may commence, (ii) of any request by the Commission for amendments or supplements to the Registration Statement or the Prospectus or for additional information with respect thereto, or of notice of institution of proceedings for, or the entry of a stop order, suspending the effectiveness of the Registration Statement and (iii) during the time when such period as a Prospectus prospectus is required to be delivered under the Securities Act, any event relating to Act in connection with the Company shall occur as a result of which it is necessary, in the opinion offering and sale of the Company’s counselShares by the Underwriters, to amend the Registration Statement or (A) of any proposal to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, including by filing any documents that would be incorporated therein by reference and (B) if any event shall occur or condition shall exist as a supplement or supplements result of which, it becomes necessary to the Prospectus which will amend or supplement the Registration Statement or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or, if it is necessary to amend or to make supplement the Registration Statement or the Prospectus to comply with the Act. The Company will provide the Underwriters and their counsel copies of any such requirementsdocuments for review and comment a reasonable amount of time prior to any proposed filing and to file no such amendment or supplement to which the Underwriters may reasonably object in writing. During The Company will endeavor to cause any necessary post-effective amendment to the time Registration Statement to become effective as soon as reasonably possible and will promptly notify the Underwriters, and if requested by the Representatives, confirm such advice in writing, when a Prospectus such post-effective amendment to the Registration Statement becomes effective. If action is required due to be delivered under a condition described by clause (iii) of the Securities Actimmediately preceding paragraph, subject to such paragraph, the Company shall comply in all material respects (A) forthwith prepare and file with all requirements imposed upon it by the Securities ActCommission an appropriate amendment or supplement to such Registration Statement or Prospectus so that the statements therein, as from time to time in forceso amended or supplemented, including the undertaking contained will not, in the Company’s light of the circumstances in which they are made, be misleading, or so that such Registration Statement pursuant to Item 20.D or Prospectus will comply with applicable law, (B) prepare promptly upon the reasonable request of any of the Commission’s Industry Guide 5Representatives, so far any amendment or supplement to the Registration Statement or the Prospectus that in the reasonable opinion of Underwriters’ counsel is believed to be necessary under the Act and (C) furnish to the Underwriters and such other persons as necessary to permit the continuance Underwriters may designate such number of sales of copies thereof as the Shares in accordance with the provisions hereof and the ProspectusUnderwriters may reasonably request.
Appears in 1 contract
Samples: Underwriting Agreement (Xerox Corp)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the The Company shall occur as a result of which it is necessary, in prepare and file with the opinion of the Company’s counsel, SEC from time to amend the time such amendments and supplements to each Registration Statement or and Prospectus used in connection therewith as may be necessary to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any keep such time to amend the Registration Statement (or amend or supplement the Prospectus in order a successor Registration Statement filed with respect to such Registrable Shares) effective and to comply with the requirements provisions of the Securities Act with respect to the disposition of the Registrable Shares covered thereby until the earlier of (a) such time as all of the Registrable Shares have been issued pursuant to an Issuance Registration Statement or disposed of in accordance with the Regulationsintended methods of disposition by the Holders pursuant to a Resale Registration Statement, as applicable, or (b) the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of date on which the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact is no longer required to be stated therein effective under the terms of this Agreement. The Company shall use reasonable efforts to file any supplement or necessary in order post-effective amendment to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the a Registration Statement with respect to the plan of distribution or the Prospectus comply with such requirements. During the time when a Prospectus Holder’s ownership interests in his, her or its Registrable Shares that is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as reasonably necessary to permit the continuance sale of sales such Holder’s Registrable Shares pursuant to such Registration Statement; provided that Holders shall, upon request, furnish the Company with updates of all necessary information required for filing such amendments and supplements, and provided, further, that the Company shall not be required to file any such amendment or supplement more frequently than quarterly. The Company shall file any necessary listing applications or amendments to the existing applications to cause the Shares in accordance with registered under any Registration Statement to be then listed or quoted on the provisions hereof and NYSE or such other primary exchange or quotation system on which the ProspectusCommon Shares are then listed or quoted.
Appears in 1 contract
Samples: Registration Rights Agreement (American Farmland Co)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limitation the time when generality of the foregoing, within two business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (each, a “Periodic Prospectus Supplement”). In addition, in order to be delivered under comply with Section 10 (a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by agrees to file a post–effective amendment to the Securities Act, as from time Registration Statement each year to time in force, including include the undertaking Company’s audited financial statements and other information contained in the Company’s Registration Statement pursuant to Item 20.D Annual Report on Form 10-K for that fiscal year (each an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (CNL Lifestyle Properties Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s 's Registration Statement pursuant to Item 20.D 20D of the Commission’s 's Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus. Without limiting the foregoing, within four business days after the Company files a quarterly report on Form 10-Q or an annual report on Form 10-K, the Company agrees to file a supplement to the Prospectus or post effective amendment to the Registration Statement which incorporates the financial and other information contained in such report.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise a Rxxxxxx Jxxxx representative in the Ameriprise Rxxxxxx Jxxxx legal department, further, the Company shall prepare and furnish without expense to AmeripriseRxxxxxx Jxxxx, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Dividend Capital Diversified Property Fund Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to AmeripriseDealer, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it the Company by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Black Creek Diversified Property Fund Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise a representative in the Ameriprise Financial legal department, further, the Company shall ; prepare and furnish without expense to Ameriprise, Ameriprise Financial a reasonable number of copies of an amendment or amendments of to the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus Prospectus, so that that, as amended or supplemented it supplemented, the Registration Statement or Prospectus will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within five (5) business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (a “Periodic Prospectus Supplement”). In addition, in order to be delivered under comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by agrees to file a post-effective amendment to the Securities Act, as from time Registration Statement each year to time in force, including include the undertaking Company’s audited financial statements and other information contained in the Company’s Registration Statement pursuant to Item 20.D annual report on Form 10-K for that fiscal year (an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than sixteen (16) months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in or incorporated by reference into the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (Owl Rock Capital Corp II)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Corporate Property Associates 17 - Global INC)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within two business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (each a “Periodic Prospectus Supplement”). In addition, in order to be delivered under comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it agrees to amend its Registration Statement to update certain information as required by Section 10(a)(3) of the Securities Act, as from time to time in force, including the undertaking contained in incorporation by reference of the Company’s Annual Report on Form 10-K for that fiscal year, in a post-effective amendment to the Registration Statement pursuant to Item 20.D (each an “Annual Post-Effective Amendment”). The Annual Post Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in or incorporated by reference into the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Real Estate Investment Trust Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal departmentpursuant to Section 11, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Global Income Trust, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the The Company shall occur as a result of which it is necessary, in prepare and file with the opinion of the Company’s counsel, SEC from time to amend the time such amendments and supplements to each Registration Statement or and Prospectus used in connection therewith as may be necessary to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any keep such time to amend the Registration Statement (or amend or supplement the Prospectus in order a successor Registration Statement filed with respect to such Registrable Shares) effective and to comply with the requirements provisions of the Securities Act with respect to the disposition of the Registrable Shares covered thereby until the earlier of (a) such time as all of the Registrable Shares have been issued pursuant to an Issuance Registration Statement or disposed of in accordance with the Regulationsintended methods of disposition by the Holders pursuant to a Resale Registration Statement, as applicable, or (b) the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of date on which the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact is no longer required to be stated therein effective under the terms of this Agreement. The Company shall use reasonable efforts to file any supplement or necessary in order post‑effective amendment to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the a Registration Statement with respect to the plan of distribution or the Prospectus comply with such requirements. During the time when a Prospectus Holder’s ownership interests in his, her or its Registrable Shares that is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as reasonably necessary to permit the continuance sale of sales such Holder’s Registrable Shares pursuant to such Registration Statement; provided that Holders shall, upon request, furnish the Company with updates of all necessary information required for filing such amendments and supplements, and provided, further, that the Company shall not be required to file any such amendment or supplement more frequently than quarterly. The Company shall file any necessary listing applications or amendments to the existing applications to cause the Shares in accordance with registered under any Registration Statement to be then listed or quoted on the provisions hereof and NYSE or such other primary exchange or quotation system on which the ProspectusCommon Shares are then listed or quoted.
Appears in 1 contract
Samples: Registration Rights Agreement (American Farmland Co)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith promptly notify an Ameriprise representative in the Ameriprise legal department, further. Further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of to the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that that, as amended or supplemented supplemented, it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust, Inc.)
Amendments and Supplements. If during If, prior to the time when a Prospectus is required to be delivered under completion of the placement of the Securities Actby the Initial Purchasers with the Subsequent Purchasers, any event relating to the Company shall occur or condition exist as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or necessary to amend or supplement the Prospectus Offering Memorandum in order to make the Prospectus not misleading statements therein, in the light of the circumstances existing at when the time it Offering Memorandum is delivered to an investora Subsequent Purchaser, not misleading, or if it shall be necessary, in the opinion judgment of the Company’s counsel, at any such time Initial Purchasers or counsel for the Initial Purchasers it is otherwise necessary to amend the Registration Statement or amend or supplement the Prospectus in order Offering Memorandum to comply with the requirements the Securities Act or the Regulationslaw, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal departmentagrees to promptly prepare (subject to Section 3 hereof), further, the Company shall prepare and furnish without at its own expense to Ameriprisethe Initial Purchasers, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus Offering Memorandum so that the statements in the Offering Memorandum as so amended or supplemented will not, in the light of the circumstances under which they were made, be misleading or so that the Offering Memorandum, as amended or supplemented, will comply with all applicable law. Following the consummation of the Exchange Offer or the effectiveness of an applicable shelf registration statement and for so long as the Securities are outstanding but in no event longer than provided for in the Registration Rights Agreement if, in the judgment of the Initial Purchasers, the Initial Purchasers or any of their affiliates (as such term is defined in the 1933 Act) are required to deliver a prospectus in connection with sales of, or market-making activities with respect to, the Securities, to periodically amend the applicable registration statement so that the information contained therein complies with the requirements of Section 10 of the 1933 Act, to amend the applicable registration statement or supplement the Registration Statement related prospectus or Prospectus the documents incorporated therein when necessary to reflect any material changes in the information provided therein so that as amended or supplemented it the registration statement and the prospectus will not contain an any untrue statement of a material fact or omit to state a any material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, misleading and to provide the Initial Purchasers with copies of each amendment or to make supplement filed and such other documents as the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusInitial Purchasers may reasonably request.
Appears in 1 contract
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Securities America representative in the Ameriprise Securities America legal department, further, the Company shall prepare and furnish without expense to AmeripriseSecurities America, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s 's Registration Statement pursuant to Item 20.D 20D of the Commission’s 's Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s 's Registration Statement pursuant to Item 20.D 20D of the Commission’s 's Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Real Estate Investment Trust III, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus. Within five business days after the Company files a quarterly report on Form 10-Q or an annual report on Form 10-K, the Company agrees to file a sticker supplement or post effective amendment which incorporates the financial and other information contained in such report.
Appears in 1 contract
Samples: Selected Dealer Agreement (CNL Properties Trust, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Securities America representative in the Ameriprise Securities America legal department, further, the Company shall prepare and furnish without expense to AmeripriseSecurities America, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Global REIT, Inc.)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within two business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (each, a “Periodic Prospectus Supplement”). In addition, in order to be delivered under comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by agrees to file a post-effective amendment to the Securities Act, as from time Registration Statement each year to time in force, including include the undertaking Company’s audited financial statements and other information contained in the Company’s Registration Statement pursuant to Item 20.D Annual Report on Form 10-K for that fiscal year (each an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Real Estate Investment Trust Inc)
Amendments and Supplements. If during Promptly upon Capital West's request, the Company will prepare and file with the Commission any amendments or supplements to the Registration Statement or Prospectus which, in the opinion of counsel for the several Underwriters, may be necessary or advisable in connection with the distribution of the Shares by the Underwriters. The Company will promptly prepare and file with the Commission, and promptly notify Capital West of the filing of, any amendments or supplements to the Registration Statement or Prospectus which may be necessary to correct any statements or omissions, if, at any time when a Prospectus prospectus relating to the Shares is required to be delivered under the Securities ActActs, any event relating to the Company shall occur have occurred as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements other prospectus relating to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that Shares as amended or supplemented it will not contain an then in effect would include any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. If any Underwriter is required to deliver a prospectus nine months or more after the effective date of the Registration Statement in connection with the sale of the Shares, the Company will prepare promptly upon request, but at the expense of such Underwriter, such amendment or amendments to make the Registration Statement and such prospectus or prospectuses as may be necessary to permit compliance with the requirements of Section 10(a)(3) of the Act. The Company will file no amendment or supplement to the Registration Statement or Prospectus which shall not previously have been submitted to Capital West a reasonable time prior to the Prospectus comply proposed filing thereof or to which Capital West shall reasonably object in writing, subject, however, to compliance with such requirements. During the time when a Prospectus is required to be delivered under the Securities ActActs, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with Rules and Regulations thereunder and the provisions hereof and the Prospectusof this Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (Mgi2 Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within 20 business days after the Company files a Quarterly Report on Form 10-Q, the Company agrees to file a supplement to the Prospectus is required which incorporates the financial and other information contained in such Quarterly Report (each, a "Periodic Prospectus Supplement"). In addition, in order to be delivered under comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by agrees to file a post-effective amendment to the Securities Act, as from time Registration Statement each year to time in force, including include the undertaking Company's audited financial statements and other information contained in the Company’s Registration Statement pursuant to Item 20.D 's Annual Report on Form 10-K for that fiscal year (each an "Annual Post-Effective Amendment"). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (Corporate Property Associates 16 Global Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Financial representative in the Ameriprise Financial legal department, further, the Company shall prepare and furnish without expense to AmeripriseAmeriprise Financial, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D 20D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Behringer Harvard Multifamily Reit I Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During Without limiting the time when generality of the foregoing, within five business days of the filing of a Prospectus is required Quarterly Report on Form 10-Q, the Company agrees to be delivered under file a post-effective amendment to the Registration Statement incorporating the financial and other information contained in such Quarterly Report (each a “Periodic Post-Effective Amendment”). In addition, in order to comply with Section 10(a)(3) of the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it agrees to amend its Registration Statement to update certain information as required by 10(a)(3) of the Securities Act, as from time to time in force, including the undertaking contained in incorporation by reference of the Company’s Registration Statement pursuant to Item 20.D Annual Report on Form 10-K for that fiscal year (each an “Annual Post-Effective Amendment”). The Annual Post-Effective Amendment will be filed no later than 16 months from the date of the Commission’s Industry Guide 5, so far as necessary to permit last audited financials contained in or incorporated by reference into the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusRegistration Statement.
Appears in 1 contract
Samples: Selected Dealer Agreement (Cb Richard Ellis Realty Trust)
Amendments and Supplements. If The Company will advise the Underwriters promptly, and, if requested by the Representatives, will confirm such advice in writing (i) if it is necessary for any post-effective amendment to the Registration Statement to be declared effective before the offering of the Securities may commence, (ii) of any request by the Commission for amendments or supplements to the Registration Statement or the Prospectus or for additional information with respect thereto, or of notice of institution of proceedings for, or the entry of, a stop order, suspending the effectiveness of the Registration Statement and (iii) during the time when such period as a Prospectus prospectus is required to be delivered under the Securities Act (or required to be delivered but for Rule 172 of the Act) in connection with the offering and sale of the Notes by the Underwriters, (A) of any proposal to amend or supplement the Registration Statement, Time of Sale Information or the Prospectus, including by filing any documents that would be incorporated therein by reference and (B) if any event relating to the Company shall occur or condition shall exist as a result of which which, it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or becomes necessary to amend or supplement the Registration Statement, Time of Sale Information or the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, statements therein or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements thereinRecorded Road Show, in the light of the circumstances under which they were made, not misleading, or, if it is necessary to amend or supplement the Registration Statement, Time of Sale Information or the Prospectus to make comply with the Act. The Company will provide the Underwriters and their counsel copies of any such documents for review and comment a reasonable amount of time prior to any proposed filing (including the filing of any Issuer Free Writing Prospectus) and agrees to file no such amendment or supplement and not to use any Issuer Free Writing Prospectus to which the Underwriters may reasonably object in writing. The Company will endeavor to cause any necessary post-effective amendment to the Registration Statement to become effective as soon as reasonably possible and will promptly notify the Underwriters, and if requested by the Representatives, confirm such advice in writing, when such post-effective amendment to the Registration Statement becomes effective. If action is required due to a condition described by clause (iii) of the immediately preceding paragraph, subject to such paragraph, the Company shall (A) forthwith prepare and file with the Commission an appropriate amendment or supplement to such Registration Statement or Prospectus so that the statements therein, as so amended or supplemented, will not, in the light of the circumstances in which they are made, be misleading, or so that such Registration Statement or Prospectus will comply with applicable law, (B) prepare promptly upon the reasonable request of any of the Representatives, any amendment or supplement to the Registration Statement or the Prospectus that in the reasonable opinion of Underwriters’ counsel is believed to be necessary under the Act, and (C) furnish to the Underwriters and such other persons as the Underwriters may designate such number of copies thereof as the Underwriters may reasonably request. If at any time prior to the Closing Time (i) any event shall occur or condition shall exist as a result of which the Time of Sale Information as then amended or supplemented and the Recorded Road Show would include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances, not misleading or (ii) it is necessary to amend or supplement the Time of Sale Information to comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Actlaw, the Company shall comply in all material respects will immediately notify the Underwriters thereof and forthwith prepare and file with all requirements imposed upon it by the Securities ActCommission (to the extent required) and furnish to the Underwriters and to such dealers as the Representatives may designate, such amendments or supplements to the Time of Sale Information as from time to time in force, including may be necessary so that the undertaking contained statements in the Company’s Registration Statement pursuant to Item 20.D Time of Sale Information as so amended or supplemented together with the Recorded Road Show will not, in the light of the Commission’s Industry Guide 5circumstances, be misleading or so far as necessary to permit that the continuance Time of sales of the Shares in accordance Sale Information and Recorded Road Show will comply with the provisions hereof and the Prospectuslaw.
Appears in 1 contract
Samples: Underwriting Agreement (Xerox Corp)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company 13 shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to AmeripriseDealer, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it the Company by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement 20 pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Hines Global Reit Ii, Inc.)
Amendments and Supplements. If The Company will advise the Underwriters promptly, and, if requested by the Representatives, will confirm such advice in writing (i) if it is necessary for any post-effective amendment to the Registration Statement to be declared effective before the offering of the Securities may commence, (ii) of any request by the Commission for amendments or supplements to the Registration Statement or the Prospectus or for additional information with respect thereto, or of notice of institution of proceedings for, or the entry of a stop order, suspending the effectiveness of the Registration Statement and, (iii) during the time when such period as a Prospectus prospectus is required to be delivered under the Securities Act, any event relating to Act in connection with the Company shall occur as a result of which it is necessary, in the opinion offering and sale of the Company’s counselNotes by the Underwriters, to amend the Registration Statement or (A) of any proposal to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, including by filing any documents that would be incorporated therein by reference and (B) if any event shall occur or condition shall exist as a supplement or supplements result of which, it becomes necessary to the Prospectus which will amend or supplement the Registration Statement or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or, if it is necessary to amend or to make supplement the Registration Statement or the Prospectus to comply with the Act. The Company will provide the Underwriters and their counsel copies of any such requirementsdocuments for review and comment a reasonable amount of time prior to any proposed filing and to file no such amendment or supplement to which the Underwriters may reasonably object in writing. During The Company will endeavor to cause any necessary post-effective amendment to the time Registration Statement to become effective as soon as reasonably possible and will promptly notify the Underwriters, and if requested by the Representatives, confirm such advice in writing, when a Prospectus such post-effective amendment to the Registration Statement becomes effective. If action is required due to be delivered under a condition described by clause (iii) of the Securities Actimmediately preceding paragraph, subject to such paragraph, the Company shall (A) forthwith prepare and file with the Commission an appropriate amendment or supplement to such Registration Statement or Prospectus so that the statements therein, as so amended or supplemented, will not, in the light of the circumstances in which they are made, be misleading, or so that such Registration Statement or Prospectus will comply with applicable law, (B) prepare promptly upon the reasonable request of any of the Representatives, any amendment or supplement to the Registration Statement or the Prospectus that in all material respects with all requirements imposed upon it by the Securities reasonable opinion of Underwriters’ counsel is believed to be necessary under the Act, and (C) furnish to the Underwriters and such other persons as from time to time in force, including the undertaking contained in Underwriters may designate such number of copies thereof as the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusUnderwriters may reasonably request.
Appears in 1 contract
Samples: Underwriting Agreement (Xerox Corp)
Amendments and Supplements. If during The Company will prepare and file with the time when a Prospectus is required Commission such amendments and supplements to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the such Registration Statement or and the prospectus used in connection therewith as may be necessary to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any keep such time to amend the Registration Statement or amend or supplement the Prospectus in order effective and to comply with the requirements provisions of the Securities Act or with respect to the Regulationsdisposition of all Registrable Shares and other securities, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal departmentif any, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the covered by such Registration Statement or until such time as all of such Registrable Shares have been disposed of in accordance with the Prospectus, or a supplement or intended methods of disposition by the Selling Holder(s) thereof set forth in such Registration Statement. In the case of amendments and supplements to the Prospectus which will amend or supplement the a Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact which are required to be stated therein or necessary in order filed pursuant to make the statements therein, in the light this Agreement (including pursuant to this Section 4.2) by reason of the circumstances under which they were madeCompany filing a report on Form 10Q, not misleading, Form 10K or to make the Registration Statement Form 8K or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered any analogous report under the Securities Exchange Act, the Company shall comply in all material respects have incorporated such report by reference into such Registration Statement, if applicable, or shall file such amendments or supplements with all requirements imposed upon it by the Securities ActCommission on the same day on which the Exchange Act report is filed which created the requirement for the Company to amend or supplement such Registration Statement. By 9:30 a.m. New York City time on the date following the date any post-effective amendment has become effective, as from time to time in force, including the undertaking contained in Company shall file with the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares Commission in accordance with Rule 424 under the provisions hereof Securities Act the final prospectus to be used in connection with sales pursuant to such Registration Statement. If requested by a Holder, the Company shall as soon as practicable (a) incorporate in a prospectus supplement or post-effective amendment such information as a Holder reasonably requests to be included therein relating to the sale and distribution of Registrable Shares, including, without limitation, information with respect to the Prospectusnumber of Registrable Shares being offered or sold, the purchase price being paid therefor and any other terms of the offering of the Registrable Shares to be sold in such offering; (b) make all required filings of such prospectus supplement or post-effective amendment after being notified of the matters to be incorporated in such prospectus supplement or post-effective amendment; and (c) supplement or make amendments to any Registration Statement if reasonably requested by a Holder.
Appears in 1 contract
Samples: Registration Rights Agreement (Orthopediatrics Corp)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements of the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal departmentpursuant to Section 12, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Nuveen Global Cities REIT, Inc.)
Amendments and Supplements. If The Company will advise the Underwriters promptly, and, if requested by the Representatives, will confirm such advice in writing (i) if it is necessary for any post-effective amendment to the Registration Statement to be declared effective before the offering of the Notes may commence, (ii) of any request by the Commission for amendments or supplements to the Registration Statement or the Prospectus or for additional information with respect thereto, or of notice of institution of proceedings for, or the entry of, a stop order, suspending the effectiveness of the Registration Statement and (iii) during the time when such period as a Prospectus prospectus is required to be delivered under the Securities Act, any event relating Act (or required to the Company shall occur as a result of which it is necessary, in the opinion be delivered but for Rule 172 of the Company’s counselAct) in connection with the offering and sale of the Notes by the Underwriters, to amend the Registration Statement or (A) of any proposal to amend or supplement the Prospectus in order to make the Prospectus not misleading in light Registration Statement, Time of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement Sale Information or the Prospectus, including by filing any documents that would be incorporated therein by reference and (B) if any event shall occur or condition shall exist as a supplement or supplements result of which, it becomes necessary to the Prospectus which will amend or supplement the Registration Statement Statement, Time of Sale Information or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or, if it is necessary to amend or supplement the Registration Statement, Time of Sale Information or the Prospectus to make comply with the Act. The Company will provide the Underwriters and their counsel copies of any such documents for review and comment a reasonable amount of time prior to any proposed filing (including the filing of any Issuer Free Writing Prospectus) and agrees to file no such amendment or supplement and not to use any Issuer Free Writing Prospectus to which the Underwriters may reasonably object in writing. The Company will endeavor to cause any necessary post-effective amendment to the Registration Statement to become effective as soon as reasonably possible and will promptly notify the Underwriters, and if requested by the Representatives, confirm such advice in writing, when such post-effective amendment to the Registration Statement becomes effective. If action is required due to a condition described by clause (iii) of the immediately preceding paragraph, subject to such paragraph, the Company shall (A) forthwith prepare and file with the Commission an appropriate amendment or supplement to such Registration Statement or Prospectus so that the statements therein, as so amended or supplemented, will not, in the light of the circumstances in which they are made, be misleading, or so that such Registration Statement or Prospectus will comply with applicable law, (B) prepare promptly upon the reasonable request of any of the Representatives, any amendment or supplement to the Registration Statement or the Prospectus that in the reasonable opinion of Underwriters’ counsel is believed to be necessary under the Act, and (C) furnish to the Underwriters and such other persons as the Underwriters may designate such number of copies thereof as the Underwriters may reasonably request. If at any time prior to the Closing Time (i) any event shall occur or condition shall exist as a result of which the Time of Sale Information as then amended or supplemented would include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances, not misleading or (ii) it is necessary to amend or supplement the Time of Sale Information to comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Actlaw, the Company shall comply in all material respects will immediately notify the Underwriters thereof and forthwith prepare and file with all requirements imposed upon it by the Securities ActCommission (to the extent required) and furnish to the Underwriters and to such dealers as the Representatives may designate, such amendments or supplements to the Time of Sale Information as from time to time in force, including may be necessary so that the undertaking contained statements in the Company’s Registration Statement pursuant to Item 20.D Time of Sale Information as so amended or supplemented will not, in the light of the Commission’s Industry Guide 5circumstances, be misleading or so far as necessary to permit that the continuance Time of sales of the Shares in accordance Sale Information will comply with the provisions hereof and the Prospectuslaw.
Appears in 1 contract
Samples: Underwriting Agreement (Xerox Corp)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in OC\1079834.2 Xxxxx Watermark Selected Dealer Agreement the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Carey Watermark Investors Inc)
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise Securities America representative in the Ameriprise Securities America legal department, further, the Company shall prepare and furnish without expense to AmeripriseSecurities America, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s 's Registration Statement pursuant to Item 20.D 20D of the Commission’s 's Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus. Without limiting the foregoing, within four business days after the Company files a quarterly report on Form 10-Q or an annual report on Form 10-K, the Company agrees to file a supplement to the Prospectus or post effective amendment to the Registration Statement which incorporates the financial and other information contained in such report.
Appears in 1 contract
Samples: Selected Dealer Agreement (KBS Legacy Partners Apartment REIT, Inc.)
Amendments and Supplements. If The Company will advise the Underwriters promptly, and, if requested by the Representatives, will confirm such advice in writing (i) if it is necessary for any post-effective amendment to the Registration Statement to be declared effective before the offering of the Shares may commence, (ii) of any request by the Commission for amendments or supplements to the Registration Statement or the Prospectus or for additional information with respect thereto, or of notice of institution of proceedings for, or the entry of a stop order, suspending the effectiveness of the Registration Statement and (iii) during the time when such period as a Prospectus prospectus is required to be delivered under the Securities Act, any event relating to Act in connection with the Company shall occur as a result of which it is necessary, in the opinion offering and sale of the Company’s counselShares by the Underwriters, to amend the Registration Statement or (A) of any proposal to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, including by filing any documents that would be incorporated therein by reference and (B) if any event shall occur or condition shall exist as a supplement or supplements result of which, it becomes necessary to the Prospectus which will amend or supplement the Registration Statement or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or, if it is necessary to amend or to make supplement the Registration Statement or the Prospectus to comply with the Act. The Company will provide the Underwriters and their counsel copies of any such requirementsdocuments for review and comment a reasonable amount of time prior to any proposed filing and to file no such amendment or supplement to which the Underwriters may reasonably object in writing. During The Company will endeavor to cause any necessary post-effective amendment to the time Registration Statement to become effective as soon as reasonably possible and will promptly notify the Underwriters, and if requested by the Representatives, confirm such advice in writing, when a Prospectus such post- effective amendment to the Registration Statement becomes effective. If action is required due to be delivered under a condition described by clause (iii) of the Securities Actimmediately preceding paragraph, subject to such paragraph, the Company shall comply in all material respects (A) forthwith prepare and file with all requirements imposed upon it by the Securities ActCommission an appropriate amendment or supplement to such Registration Statement or Prospectus so that the statements therein, as from time to time in forceso amended or supplemented, including the undertaking contained will not, in the Company’s light of the circumstances in which they are made, be misleading, or so that such Registration Statement pursuant to Item 20.D or Prospectus will comply with applicable law, (B) prepare promptly upon the reasonable request of any of the Commission’s Industry Guide 5Representatives, so far any amendment or supplement to the Registration Statement or the Prospectus that in the reasonable opinion of Underwriters’ counsel is believed to be necessary under the Act and (C) furnish to the Underwriters and such other persons as necessary to permit the continuance Underwriters may designate such number of sales of copies thereof as the Shares in accordance with the provisions hereof and the ProspectusUnderwriters may reasonably request.
Appears in 1 contract
Samples: Underwriting Agreement (Xerox Corp)
Amendments and Supplements. If during During the time when Registration Period, the Company shall (i) promptly prepare and file with the SEC such amendments (including post-effective amendments) and supplements to a Registration Statement and the Prospectus used in connection with a Registration Statement, which Prospectus is required to be delivered filed pursuant to Rule 424 promulgated under the Securities Act, as may be necessary to keep such Registration Statement effective at all times during the Registration Period, (ii) prepare and file with the SEC additional Registration Statements in order to register for resale under the Securities Act all of the Registrable Securities in accordance with the terms of this Agreement; (iii) cause the related Prospectus to be amended or supplemented by any event required Prospectus supplement (subject to the terms of this Agreement), and as so supplemented or amended to be filed pursuant to Rule 424; (iv) respond as promptly as reasonably possible to any comments received from the SEC with respect to a Registration Statement or any amendment thereto and as promptly as reasonably possible provide the Investor true and complete copies of all correspondence from and to the SEC relating to a Registration Statement (provided that the Company may excise any information contained therein which would constitute material non-public information as to the Investor which has not executed a confidentiality agreement with the Company); and (v) comply with the provisions of the Securities Act with respect to the disposition of all Registrable Securities of the Company covered by such Registration Statement until such time as all of such Registrable Securities shall occur have been disposed of in accordance with the intended methods of disposition by the seller or sellers thereof as set forth in such Registration Statement. In the case of amendments and supplements to a result of Registration Statement which it is necessary, in the opinion are required to be filed pursuant to this Agreement (including pursuant to this Section 2(c)) by reason of the Company’s counselfiling a report on Form 20-F or Form 6-K or any analogous report under the Securities Exchange Act, to amend the Company shall incorporate such report by reference into the Registration Statement Statement, if applicable, or shall file such amendments or supplements with the SEC on the same day on which the Exchange Act report is filed which created the requirement for the Company to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the ProspectusStatement.
Appears in 1 contract
Amendments and Supplements. If during the time when a Prospectus is required to be delivered under the Securities Act, any event relating to the Company shall occur as a result of which it is necessary, in the opinion of the Company’s 's counsel, to amend the Registration Statement or to amend or supplement the Prospectus in order to make the Prospectus not misleading in light of the circumstances existing at the time it is delivered to an investor, or if it shall be necessary, in the opinion of the Company’s 's counsel, at any such time to amend the Registration Statement or amend or supplement the Prospectus in order to comply with the requirements the Securities Act or the Regulations, the Company will forthwith notify an Ameriprise representative in the Ameriprise legal department, further, the Company shall prepare and furnish without expense to Ameriprise, a reasonable number of copies of an amendment or amendments of the Registration Statement or the Prospectus, Prospectus or a supplement or supplements to the Prospectus which will amend or supplement the Registration Statement or the Prospectus so that as amended or supplemented it will not contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, or to make the Registration Statement or the Prospectus comply with such requirements. Without limiting the generality of the foregoing, after the Company files a Quarterly Report on Form 10-Q or an Annual Report on Form 10-K (each, a "Periodic Report"), the Company agrees to file an amendment to the Registration Statement or supplement to the Prospectus, as applicable, which incorporates the financial and other information contained in such Periodic Report (each, a "Periodic Prospectus Supplement") as required by the rules and regulations promulgated under the Securities Act. During the time when a Prospectus is required to be delivered under the Securities Act, the Company shall comply in all material respects with all requirements imposed upon it by the Securities Act, as from time to time in force, including the undertaking contained in the Company’s Registration Statement pursuant to Item 20.D of the Commission’s Industry Guide 5, so far as necessary to permit the continuance of sales of the Shares in accordance with the provisions hereof and the Prospectus.
Appears in 1 contract
Samples: Selected Dealer Agreement (Corporate Property Associates 16 Global Inc)