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 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.
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Samples: Subscription Agreement (Seven Stars Cloud Group, Inc.), Subscription Agreement (Seven Stars Cloud Group, 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 involvingmisdemeanor: ¨ ·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. YES NO If yes, please explain: ¨ No.:
Appears in 1 contract
Samples: Subscription Agreement (American Battery Metals Corp)
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 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 Agreement (Seven Stars Cloud Group, 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; ¨ ☐ involving the making of any false filing with 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.
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