Broker-Dealer Status. (a) Are you a broker-dealer? (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?
Appears in 32 contracts
Samples: Registration Rights Agreement (Super League Enterprise, Inc.), Registration Rights Agreement (Mega Matrix Corp.), Registration Rights Agreement (T2 Biosystems, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ¨ No ¨
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ¨ No ¨
Appears in 20 contracts
Samples: Registration Rights Agreement (SmartKem, Inc.), Registration Rights Agreement (MultiSensor AI Holdings, Inc.), Registration Rights Agreement (Trevena Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ☐ No ☐
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ☐ No ☐
Appears in 9 contracts
Samples: Registration Rights Agreement (NRX Pharmaceuticals, Inc.), Registration Rights Agreement (Super League Enterprise, Inc.), Registration Rights Agreement (Eterna Therapeutics Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ¨ No ¨
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ¨ No ¨
Appears in 7 contracts
Samples: Registration Rights Agreement (Catabasis Pharmaceuticals Inc), Rights Agreement (Neophotonics Corp), Registration Rights Agreement (Laidlaw Energy Group, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes o No o
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes o No o
Appears in 4 contracts
Samples: Registration Rights Agreement (Biodexa Pharmaceuticals PLC), Registration Rights Agreement (Biodexa Pharmaceuticals PLC), Registration Rights Agreement (Midatech Pharma PLC)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes o No o
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?. Yes o No o
Appears in 4 contracts
Samples: Registration Rights Agreement (Destiny Media Technologies Inc), Securities Purchase Agreement (NeuroMetrix, Inc.), Registration Rights Agreement (Spatialight Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?
? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ☐ No ☐
Appears in 2 contracts
Samples: Registration Rights Agreement (Bionano Genomics, Inc.), Registration Rights Agreement (Stronghold Digital Mining, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes No
(b) If you answered “yes” to Section 3(a)Item 4(a) above, did you receive your Registrable Securities as compensation for investment banking services provided to the Company?? Yes No
Appears in 2 contracts
Samples: Registration Rights Agreement (Liquidia Corp), Registration Rights Agreement (Liquidia Corp)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ¨ No ¨
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?. Yes ¨ No ¨
Appears in 2 contracts
Samples: Registration Rights Agreement (Achillion Pharmaceuticals Inc), Registration Rights Agreement (Achillion Pharmaceuticals Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes [ ] No [ ]
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes [ ] No [ ]
Appears in 2 contracts
Samples: Registration Rights Agreement (Taronis Fuels, Inc.), Securities Purchase Agreement (Akers Biosciences Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?
(b) If if “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?.
Appears in 1 contract
Samples: Registration Rights Agreement (Asia Special Situation Acquisition Corp)
Broker-Dealer Status. (a) Are you a broker-dealer?
? Yes ☐ No ☐ (b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?
Appears in 1 contract
Samples: Registration Rights Agreement (Cartesian Therapeutics, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes No
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes No
Appears in 1 contract
Samples: Registration Rights Agreement (NeuroBo Pharmaceuticals, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes མ No མ
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes མ No མ
Appears in 1 contract
Samples: Registration Rights Agreement (Hoku Scientific Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes .
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities Shares as compensation for investment banking services to the Company?? Yes .
Appears in 1 contract
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ☐ No ☐
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ☐ No ☐ 266186520 v4 26
Appears in 1 contract
Samples: Registration Rights Agreement (HTG Molecular Diagnostics, Inc)
Broker-Dealer Status. (a) Are you a broker-dealer?
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?
(c) Are you an affiliate of a broker-dealer? Note: If yes, provide a narrative explanation below:
Appears in 1 contract
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ___ No ___
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?.
Appears in 1 contract
Samples: Registration Rights Agreement (Paincare Holdings Inc)
Broker-Dealer Status. (a) Are you a registered broker-dealer?? Yes . No .
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?. Yes . No .
Appears in 1 contract
Samples: Registration Rights Agreement (Digital Development Group Corp)
Broker-Dealer Status. (a) Are you a broker-dealer?
? Yes ☐ No ☐ (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?
Appears in 1 contract
Samples: Registration Rights Agreement (CENNTRO ELECTRIC GROUP LTD)
Broker-Dealer Status. (a) Are you a broker-dealer?
? Yes No (b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?
Appears in 1 contract
Samples: Securities Purchase Agreement (BioRestorative Therapies, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ¨ No ¨
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?Corporation? Yes ¨ No ¨
Appears in 1 contract
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes ¨ No ¨
(b) If “yes” yes to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes ¨ No ¨
Appears in 1 contract
Samples: Securities Purchase Agreement (Baxano Surgical, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes o No o
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes o No o
Appears in 1 contract
Broker-Dealer Status. (a) Are you a broker-dealer?
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?.
Appears in 1 contract
Samples: Registration Rights Agreement (Eastside Distilling, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? Yes No
(b) If “yes” to Section 3(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? Yes No
Appears in 1 contract
Samples: Registration Rights Agreement (Bio-Path Holdings, Inc.)
Broker-Dealer Status. (a) Are you a broker-dealer?? oYes o No
(b) If “yes” to Section 3(a4(a), did you receive your Registrable Securities as compensation for investment banking services to the Company?? oYes oNo
Appears in 1 contract
Samples: Registration Rights Agreement (VeruTEK Technologies, Inc.)
