Broker-Dealer Status. Is the Investor a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ Yes. ☐ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Lyra Therapeutics, Inc.), Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MEI Pharma, Inc.)
Broker-Dealer Status. Is the Investor Purchaser a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ □ Yes. ☐ □ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 3 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (Obalon Therapeutics Inc), Securities Purchase Agreement (Aimmune Therapeutics, Inc.)
Broker-Dealer Status. Is the Investor a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ □ Yes. ☐ □ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Selecta Biosciences Inc), Securities Purchase Agreement (Selecta Biosciences Inc)
Broker-Dealer Status. Is the Investor Purchaser a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ ¨ Yes. ☐ ¨ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 2 contracts
Samples: Registration Rights Agreement (Clearsign Combustion Corp), Securities Purchase Agreement (Ardelyx, Inc.)
Broker-Dealer Status. Is the Investor Purchaser a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ o Yes. ☐ o No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Clearsign Combustion Corp), Stock Purchase Agreement (T2 Biosystems, Inc.)
Broker-Dealer Status. Is the Investor Purchaser a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ □ Yes. ☐ □ No. If so, please answer the remaining questions under in this Item 5section. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 1 contract
Broker-Dealer Status. Is the Investor Purchaser a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ Yes. ☐ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 1 contract
Samples: Stock Purchase Agreement (Tokai Pharmaceuticals Inc)
Broker-Dealer Status. Is the Investor a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ ¨ Yes. ☐ ¨ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus.
Appears in 1 contract
Samples: Investment Agreement (Rhythm Pharmaceuticals, Inc.)
Broker-Dealer Status. Is the Investor Selling Stockholder a broker-dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)? ☐ ¨ Yes. ☐ ¨ No. If so, please answer the remaining questions under this Item 5. Note that the Company will be required to identify any registered broker-dealer as an underwriter in the Registration Statement and related prospectus. If so, please answer the remaining questions in this section.
Appears in 1 contract
Samples: Registration Rights Agreement (Raptor Pharmaceutical Corp)
