Common use of Broker-Dealer Status Clause in Contracts

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 97 contracts

Sources: Membership Interest Purchase Agreement (Greenbrook TMS Inc.), Registration Rights Agreement (Applied Blockchain, Inc.), Resale Registration Rights Agreement (Greenbrook TMS Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 70 contracts

Sources: Resale Registration Rights Agreement (Senseonics Holdings, Inc.), Subscription Agreement (Broadway Financial Corp \De\), Subscription Agreement (Broadway Financial Corp \De\)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨? (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 20 contracts

Sources: Registration Rights Agreement (CalEthos, Inc.), Registration Rights Agreement (Greenidge Generation Holdings Inc.), Registration Rights Agreement (ICTV Brands Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 16 contracts

Sources: Resale Registration Rights Agreement (Venus Concept Inc.), Resale Registration Rights Agreement (Venus Concept Inc.), Registration Rights Agreement (Madryn Asset Management, LP)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ ☐ (b) If “yes” to Section 4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If yesno, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (bc) Are you an affiliate of a broker-dealer? Yes ¨ No ¨☐ Note: If yes, provide a narrative explanation below: (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 15 contracts

Sources: Registration Rights Agreement (PSQ Holdings, Inc.), Registration Rights Agreement (LanzaTech Global, Inc.), Registration Rights Agreement (Aileron Therapeutics Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.¨

Appears in 15 contracts

Sources: Warrant Share Registration Rights Agreement (Java Detour Inc.), Investor Rights Agreement (Proelite, Inc.), Initial Registration Rights Agreement (Lucys Cafe Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 12 contracts

Sources: Registration Rights Agreement (Perfect Moment Ltd.), Registration Rights Agreement (Perfect Moment Ltd.), Registration Rights Agreement (Perfect Moment Ltd.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 12 contracts

Sources: Resale Registration Rights Agreement (Greenbrook TMS Inc.), Registration Rights Agreement (NightFood Holdings, Inc.), Resale Registration Rights Agreement (Oclaro, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ [ ] Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ [ ] Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 10 contracts

Sources: Registration Rights Agreement (Applied Digital Corp.), Registration Rights Agreement (Applied Blockchain, Inc.), Registration Rights Agreement (Know Labs, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨¨ Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 9 contracts

Sources: Registration Rights Agreement (Interlink Electronics Inc), Registration Rights Agreement (Integrated Surgical Systems Inc), Registration Rights Agreement (Ziopharm Oncology Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ [ ] Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ [ ] Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 9 contracts

Sources: Registration Rights Agreement (Sys), Registration Rights Agreement (Datalogic International Inc), Registration Rights Agreement (Genio Group Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.o

Appears in 7 contracts

Sources: Registration Rights Agreement (Captech Financial Group, Inc), Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Registration Rights Agreement (FatBoy Capital, L.P.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ |_| No ¨ |_| Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ |_| No ¨|_| (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ |_| No ¨ |_| Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 6 contracts

Sources: Registration Rights Agreement (Alliance Pharmaceutical Corp), Registration Rights Agreement (Bluebook International Holding Co), Registration Rights Agreement (Mace Security International Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ __ No ¨ __ Note: If yes, the Commission’s SEC staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ __ No ¨__ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ __ No ¨ __ Note: If no, the Commission’s SEC staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 6 contracts

Sources: Note Purchase Agreement (Emagin Corp), Note Purchase Agreement (Emagin Corp), Note Purchase Agreement (Emagin Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 6 contracts

Sources: Registration Rights Agreement (Resonant Inc), Registration Rights Agreement (Resonant Inc), Registration Rights Agreement (Resonant Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 5 contracts

Sources: Registration Rights Agreement (Alpha Cognition Inc.), Loan and Security Agreement (TScan Therapeutics, Inc.), Loan and Security Agreement (Surface Oncology, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 4 contracts

Sources: Registration Rights Agreement (Apollo Resources International Inc), Registration Rights Agreement (Imcor Pharmaceutical Co), Registration Rights Agreement (Earth Biofuels Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 4 contracts

Sources: Resale Registration Rights Agreement (Nextnav Inc.), Resale Registration Rights Agreement (Nextnav Inc.), Resale Registration Rights Agreement (Invacare Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨? (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 4 contracts

Sources: Registration Rights Agreement (CAMAC Energy Inc.), Registration Rights Agreement (Focus Enhancements Inc), Securities Purchase Agreement (Granite City Food & Brewery LTD)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [_] No ¨ [_] Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [_] No ¨[_] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [_] No ¨ [_] Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 4 contracts

Sources: Securities Purchase Agreement (Composite Technology Corp), Registration Rights Agreement (RCG Companies Inc), Securities Purchase Agreement (Composite Technology Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought or acquired the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 4 contracts

Sources: Registration Rights Agreement (Marizyme, Inc.), Registration Rights Agreement (Marizyme, Inc.), Registration Rights Agreement (Marizyme, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 3 contracts

Sources: Registration Rights Agreement (Global Axcess Corp), Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.¨ (b) Did you acquire the securities to be registered for investment purposes Yes ¨ No ¨ (c) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities securities to be registered in the ordinary course of business, and at the time of the purchase of the Registrable Securities securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securitiessecurities? Yes ¨ No ¨ Note: If (if no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.) Yes ¨ No ¨

Appears in 3 contracts

Sources: Registration Rights Agreement (Dimensional Associates, LLC), Merger Agreement (Digital Music Group, Inc.), Agreement and Plan of Merger (Dimensional Associates, LLC)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨☐ Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 3 contracts

Sources: Convertible Secured Contingent Value Right Agreement (Molecular Templates, Inc.), Loan and Security Agreement (89bio, Inc.), Registration Rights Agreement (Jones Soda Co)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 3 contracts

Sources: Registration Rights Agreement (SMSA Palestine Acquistion Corp.), Registration Rights Agreement (MATECH Corp.), Registration Rights Agreement (Material Technologies Inc /Ca/)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 3 contracts

Sources: Registration Rights Agreement (Oxis International Inc), Registration Rights Agreement (Insignia Systems Inc/Mn), Securities Purchase Agreement (Sunburst Acquisitions Iv Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨☐ Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (TOMI Environmental Solutions, Inc.), Registration Rights Agreement (PLx Pharma Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If noyes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Sinohub, Inc.), Registration Rights Agreement (Sinohub, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Latin America Ventures, Inc.), Registration Rights Agreement (Option Placement, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities Common Stock in the ordinary course of business, and at the time of the purchase of the Registrable Securities Common Stock to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable SecuritiesCommon Stock? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Willbros Group Inc), Registration Rights Agreement (Mru Holdings Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities or Permissible Piggyback Shares to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable SecuritiesSecurities or Permissible Piggyback Shares? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Lime Energy Co.), Registration Rights Agreement (Lime Energy Co.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ x No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ x No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ x No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Pipeline Data Inc), Registration Rights Agreement (Pipeline Data Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Registerable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Registerable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Registerable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Bullion River Gold Corp), Securities Purchase Agreement (Bullion River Gold Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ ___ No ¨ ___ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ ___ No ¨___ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ ___ No ¨ ___ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Full House Resorts Inc), Registration Rights Agreement (Full House Resorts Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: :If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨? (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: :If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Transfer Agreement (CAMAC Energy Inc.), Share Purchase Agreement (CAMAC Energy Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes Yes: ¨ No No: ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes Yes: ¨ No No: ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes Yes: ¨ No No: ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 2 contracts

Sources: Registration Rights Agreement (Cordia Bancorp Inc), Securities Purchase Agreement (Cordia Bancorp Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Securities Purchase Agreement (Granite Partners, L.L.C.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ / / No ¨ / / Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ / / No ¨/ / (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ / / No ¨ / / Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Implant Sciences Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (d) State whether the undersigned Selling Securityholder received Registrable Securities as compensation for underwriting activities and please explain. Yes ¨ No ¨

Appears in 1 contract

Sources: Registration Rights Agreement (Synova Healthcare Group Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ [ ] Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ [ ] Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Loan and Guaranty Agreement (VBI Vaccines Inc/Bc)

Broker-Dealer Status. (a) Are you a registered broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a registered broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (DHB Industries Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [] No ¨ [] Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [] No ¨[] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [] No ¨ [] Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Raser Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes No ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Resale Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes No ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes No ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Resale Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Cempra, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨? (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (China Housing & Land Development, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Universal Property Development & Acquisition Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ [ ] Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.[ ]

Appears in 1 contract

Sources: Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ NoteNote : If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ NoteNote : If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Sirenza Microdevices Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Simtek Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Securities and Exchange Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities Shares in the ordinary course of business, and at the time of the purchase of the Registrable Securities Shares to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable SecuritiesShares? Yes ¨ No ¨ Note: If no, the Securities and Exchange Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Merger Agreement (Endologix Inc /De/)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ __ No ¨ __ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ __ No ¨__ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ __ No ¨ __ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Cirond Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o 16 Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Crestview Capital Master LLC)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.No (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Oragenics Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should may need to be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Southern Sauce Company, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Oragenics Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Know Labs, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Did you acquire the Registrable Securities for investment purposes? (c) Are you an affiliate of a broker-dealer? Yes ¨ No ¨? (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Tvia Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate or associated person of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate or ▇▇▇▇▇▇▇▇▇▇ person of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Great American Family Parks Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨¨ Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Tablemax Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ [ ] Note: If yes, the Commission’s Comissions's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ [ ] Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Toreador Resources Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Simplagene Usa Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: :If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: :If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Beacon Power Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Las Vegas Gaming Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Did you acquire the Registrable Securities for investment purposes? Yes ¨ No ¨ (c) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Tut Systems Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ ☐ (b) If “yes” to Section 4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ☐ No ☐ Note: If yesno, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. . Annex B-2 (bc) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ ☐ Note: If yes, provide a narrative explanation below: (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Hudson Executive Capital LP)

Broker-Dealer Status. (a) Are you a broker-dealer? ________ Yes ¨ __________ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? ________ Yes ¨ No ¨__________ No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? ________ Yes ¨ __________ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Zulu Energy Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [ ] No ¨ Note[ ] NOTE: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ Note[ ] NOTE: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (d) State whether the undersigned Selling Securityholder received Registrable Securities as compensation for underwriting activities and please explain. Yes [ ] No [ ]

Appears in 1 contract

Sources: Registration Rights Agreement (Synova Healthcare Group Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (I2 Telecom International Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ ☐ ​ Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨☐ ​ Note: If yes, provide a narrative explanation below: ​ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ ☐ ​ Note: If no, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement.. ​

Appears in 1 contract

Sources: Registration Rights Agreement (Assure Holdings Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Force Protection Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Think Partnership Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ No¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Ediets Com Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.¨ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company? Yes ¨ No ¨ (c) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (cd) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Eastside Distilling, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Navidea Biopharmaceuticals, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should may need to be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Aamaxan Transport Group, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ £ No ¨ £ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ £ No ¨£ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ £ No ¨ £ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Subscription Agreement (Central Pacific Financial Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (d) State whether the undersigned Selling Securityholder received Registrable Securities as compensation for underwriting activities and please explain. Yes o No o

Appears in 1 contract

Sources: Registration Rights Agreement (Tube Media Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer*? Yes ¨ [ ] No ¨ [ ] Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer*? Yes ¨ [ ] No ¨[ ] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [ ] No ¨ [ ] Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Artistdirect Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨Note: If yes, provide a narrative explanation below: (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Stock Exchange and Loan Agreement (Navidea Biopharmaceuticals, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities Shares in the ordinary course of business, and at the time of the purchase of the Registrable Securities Shares to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable SecuritiesShares? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Victory Energy Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought obtained the Registrable Securities in the ordinary course of business, and at the time of you obtained the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Simplagene Usa Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ r No ¨ r Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ r No ¨r (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ r No ¨ r Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Solar Power, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ þ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨þ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.þ

Appears in 1 contract

Sources: Registration Rights Agreement (Synova Healthcare Group Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.. Yes No (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨No (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Authentidate Holding Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Resale Registration Rights Agreement (Klein Benjamin)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ __ No ¨ __ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ __ No ¨__ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ __ No ¨ __ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (China Security & Surveillance Technology, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Yes__ No__ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨Yes__ No__ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.Yes__ No__

Appears in 1 contract

Sources: Securities Purchase Agreement (Turbosonic Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.o

Appears in 1 contract

Sources: Securities Purchase Agreement (SMSA Palestine Acquistion Corp.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Yongye Biotechnology International, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should may be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities as an investment in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Subscription Agreement (Technoconcepts, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? dealer Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Resale Registration Rights Agreement (Senseonics Holdings, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ o No ¨o (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.o Noo

Appears in 1 contract

Sources: Registration Rights Agreement (Crdentia Corp)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (d) State whether the undersigned Selling Securityholder received Registrable Securities as compensation for underwriting activities and p lease explain. Yes ¨ No ¨

Appears in 1 contract

Sources: Registration Rights Agreement (Synova Healthcare Group Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought or acquired the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Marizyme, Inc.)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ [] No ¨ [] Note: If yes, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ [] No ¨[] (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ [] No ¨ [] Note: If no, the Commission’s 's staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Registration Rights Agreement (Raser Technologies Inc)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ o No ¨ o Note: If yes, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ o No ¨ o Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.

Appears in 1 contract

Sources: Subscription Agreement (Broadway Financial Corp \De\)

Broker-Dealer Status. (a) Are you a broker-dealer? Yes ¨ No ¨ Note: If yes, the CommissionSEC’s staff has indicated that you should be identified as an underwriter in the Registration Statement. (b) Are you an affiliate of a broker-dealer? Yes ¨ No ¨ (c) If you are an affiliate of a broker-dealer, do you certify that you bought the Registrable Securities in the ordinary course of business, and at the time of the purchase of the Registrable Securities to be resold, you had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities? Yes ¨ No ¨ Note: If no, the Commission’s staff has indicated that you should be identified as an underwriter in the Registration Statement.¨

Appears in 1 contract

Sources: Registration Rights Agreement (Smart Video Technologies Inc)