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

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

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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

Samples: 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

Samples: 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 ¨ ☐ (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

Samples: 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

Samples: Warrant Share Registration Rights Agreement (Java Detour Inc.), Share Registration Rights Agreement (Java Detour Inc.), Registration Rights Agreement (Proelite, 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

Samples: Resale Registration Rights Agreement (Venus Concept Inc.), Registration Rights Agreement (Madryn Asset Management, LP), Registration Rights Agreement (White River Energy 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 ¨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

Samples: 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 ¨¨ 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

Samples: 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 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 9 contracts

Samples: Registration Rights Agreement (Applied Blockchain, Inc.), Registration Rights Agreement (Know Labs, Inc.), Registration Rights Agreement (THT Heat Transfer Technology, 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

Samples: Registration Rights Agreement (Sys), Securities Purchase Agreement (Integral Vision Inc), Registration Rights Agreement (Sonus Pharmaceuticals 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 8 contracts

Samples: Registration Rights Agreement (Exicure, Inc.), Registration Rights Agreement (Yumanity Therapeutics, Inc.), Registration Rights Agreement (Exicure, 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

Samples: Registration Rights Agreement (Micromed Cardiovascular Inc), Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Registration Rights Agreement (Micromed Cardiovascular 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

Samples: 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

Samples: 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 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

Samples: Registration Rights Agreement (Alliance Pharmaceutical Corp), Registration Rights Agreement (Shumate Industries Inc), Registration Rights Agreement (RCG Companies 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

Samples: 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

Samples: Registration Rights Agreement (Imcor Pharmaceutical Co), Registration Rights Agreement (Earth Biofuels Inc), Registration Rights Agreement (Apollo Resources International 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 4 contracts

Samples: Registration Rights Agreement (CAMAC Energy Inc.), Securities Purchase Agreement (Granite City Food & Brewery LTD), Registration Rights Agreement (Alliance Pharmaceutical 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

Samples: 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 4 contracts

Samples: Registration Rights Agreement (Sinovac Biotech LTD), 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 '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

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

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

Samples: 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

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

Samples: Resale Registration Rights Agreement (Nextnav Inc.), Resale Registration Rights Agreement (Invacare Corp), Registration Rights Agreement (Soligenix, 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 3 contracts

Samples: 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

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

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

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

Samples: 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 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

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

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

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

Samples: 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

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

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

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

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

Samples: 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 of the Securities and Exchange Commission 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 Units in the ordinary course of business, and at the time of the purchase of the Units (the securities underlying which will be registrable under the Registration Rights Agreement (the “Registrable Securities to be resoldSecurities”), 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.No

Appears in 1 contract

Samples: Subscription Agreement (Clean Coal Technologies 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

Samples: Registration Rights Agreement (Yongye Biotechnology International, 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

Samples: 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

Samples: Registration Rights Agreement (Force Protection 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

Samples: 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 ¨[] (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

Samples: Registration Rights Agreement (Raser Technologies 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

Samples: Registration Rights Agreement (Ediets Com Inc)

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

Samples: Registration Rights Agreement (DHB Industries 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

Samples: 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 ¨¨ 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

Samples: Registration Rights Agreement (Tablemax 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

Samples: Subscription Agreement (Central Pacific Financial 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

Samples: 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) 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

Samples: 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

Samples: Registration Rights Agreement (Navidea Biopharmaceuticals, 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

Samples: Securities Purchase Agreement (Turbosonic Technologies Inc)

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

Samples: 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

Samples: Registration Rights Agreement (Raser Technologies 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

Samples: 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

Samples: Registration Rights Agreement (China Security & Surveillance Technology, 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

Samples: 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.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

Samples: Registration Rights Agreement (Oragenics Inc)

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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

Samples: Registration Rights Agreement (Sirenza Microdevices 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

Samples: 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

Samples: 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 ¨ 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

Samples: Registration Rights Agreement (Tube Media 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

Samples: Merger Agreement (Endologix Inc /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) 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

Samples: Registration Rights Agreement (Tvia 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

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

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

Samples: Registration Rights Agreement (Crestview Capital Master LLC)

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

Samples: 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 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

Samples: Registration Rights Agreement (Marizyme, 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

Samples: Registration Rights Agreement (Southern Sauce Company, 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. (d) State whether the undersigned Selling Securityholder received Registrable Securities as compensation for underwriting activities and please explain. Yes ¨ No ¨

Appears in 1 contract

Samples: 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

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

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

Samples: Securities Purchase Agreement (SMSA Palestine Acquistion 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

Samples: 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

Samples: Registration Rights Agreement (Solar Power, 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

Samples: Registration Rights Agreement (Authentidate Holding 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 ¨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

Samples: Registration Rights Agreement (Victory Energy 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.

Appears in 1 contract

Samples: Registration Rights Agreement (Think Partnership 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

Samples: Registration Rights Agreement (Cyberkinetics Neurotechnology Systems, 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

Samples: Registration Rights Agreement (Crdentia Corp)

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

Samples: Registration Rights Agreement (Cempra, 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

Samples: Registration Rights Agreement (Simtek Corp)

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

Samples: Registration Rights Agreement (China Housing & Land Development, 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 xxxxxxxxxx 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

Samples: 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 '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

Samples: Registration Rights Agreement (Cirond 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 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

Samples: Registration Rights Agreement (Beacon Power 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

Samples: Registration Rights Agreement (Simplagene Usa 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

Samples: 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. (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

Samples: 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

Samples: Registration Rights Agreement (I2 Telecom International Inc)

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

Samples: Registration Rights Agreement (Synova Healthcare Group 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

Samples: 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 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

Samples: Registration Rights Agreement (Know Labs, 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

Samples: Registration Rights Agreement (Artistdirect 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

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

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

Samples: Registration Rights Agreement (Smart Video Technologies Inc)

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