Certain Criminal Convictions. Have you been convicted, within the past ten (10) years (or five (5) years, in the case of the Company, its predecessors and affiliated issuers), of any felony or misdemeanor involving: · in connection with the purchase or sale of any security; · involving the making of any false filing with the U.S. Securities and Exchange Commission (the “SEC”); or · arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment advisor or paid solicitor of purchasers of securities? ¨ Yes. If yes, please explain: ____________________________________________________ ¨ No.
Appears in 2 contracts
Samples: Subscription Agreement (Xg Sciences Inc), Subscription Agreement (Xg Sciences Inc)
Certain Criminal Convictions. Have you been convicted, within the past ten (10) years (or five (5) years, in the case of the Company, its predecessors and affiliated issuers), of any felony or misdemeanor involving: · - in connection with the purchase or sale of any security; · security - involving the making of any false filing with the U.S. Securities and Exchange Commission (the “SEC”); or · - arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment advisor or paid solicitor of purchasers of securities? ¨ ☐ Yes. If yes, please explain: ____________________________________________________ ¨ ☐ No.
Appears in 1 contract
Samples: Subscription & Purchase Agreement
Certain Criminal Convictions. Have you been convicted, within the past ten (10) years (or five (5) years, in the case of the Company, its predecessors and affiliated issuers), of any felony or misdemeanor involving: · in connection with the purchase or sale of any security; · involving the making of any false filing with the U.S. Securities and Exchange Commission (the “"SEC”"); or · arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment advisor or paid solicitor of purchasers of securities? ¨ □ Yes. If yes, please explain: ____________________________________________________ ¨ □ No.
Appears in 1 contract
Samples: Private Placement Subscription Agreement (China Xuefeng Environmental Engineering Inc.)
Certain Criminal Convictions. Have you been convicted, within the past ten (10) years (or five (5) years, in the case of the Company, its predecessors and affiliated issuers), of any felony or misdemeanor involving: · in in connection with the purchase or sale of any security; · involving involving the making of any false filing with the U.S. Securities and Exchange Commission (the “SEC”); or · arising arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment advisor or paid solicitor of purchasers of securities? ¨ Yes. YES [ ] NO [ ] If yes, please explain: ____________________________________________________ ¨ No.
Appears in 1 contract
Samples: Subscription Agreement (American Battery Metals Corp)