Common use of Certain Other Transfer Restrictions Clause in Contracts

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 28 contracts

Samples: Representative's Warrant (Peekay Boutiques, Inc.), Warrant Agreement (Peekay Boutiques, Inc.), Underwriting Agreement (Ideal Power Inc.)

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Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9Warrant: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (ii) subject at all times to FINRA Rule 5110(g), no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 16 contracts

Samples: Warrant Agreement (HeartBeam, Inc.), Warrant Agreement (HeartBeam, Inc.), Warrant Agreement (TFF Pharmaceuticals, Inc.)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9Warrant: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), ; and (ii) subject at all times to FINRA Rule 5110(g), no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (Cue Biopharma, Inc.), Warrant Agreement (Cue Biopharma, Inc.), Warrant Agreement (Cue Biopharma, Inc.)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (ii) subject at all times to FINRA Rule 5110(g), no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (PetroShare Corp.), Warrant Agreement (CBD Energy LTD), Warrant Agreement (Energous Corp)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Vesting Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g5110(g)(1), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof Holder to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser holder hereof and such transfer is permitted under applicable securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (Plug Power Inc), Warrant Agreement (West Coast Realty Trust, Inc.), Warrant Agreement (Regenerx Biopharmaceuticals Inc)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g2710(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (Eyetel Imaging Inc), Warrant Agreement (Eyetel Imaging Inc), Warrant Agreement (Eyetel Imaging Inc)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) , prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g). Subject to the requirements of FINRA Rule 5110(g), and (ii) no opinion of counsel shall be necessary for a transfer of the Restricted Securities by the holder thereof Holder to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 3 contracts

Samples: Underwriter Warrant (Parametric Sound Corp), Underwriting Agreement (Parametric Sound Corp), Warrant Agreement (Parametric Sound Corp)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Vesting Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA NASD Rule 5110(g2710(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Debt Resolve Inc), Warrant Agreement (Coffee Holding Co Inc), Warrant Agreement (Ivivi Technologies, Inc.)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the HolderPlacement Agent, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Liqtech International Inc), Warrant Agreement (Liqtech International Inc), Warrant Agreement (Liqtech International Inc)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Vesting Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (China for-Gen Corp.), Warrant Agreement (Golden Green Enterprises Ltd.), Warrant Agreement (Golden Green Enterprises Ltd.)

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Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 910: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), ; and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder Holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities lawslaw.

Appears in 2 contracts

Samples: Underwriter's Warrant (Med BioGene Inc.), Underwriter's Warrant (Med BioGene Inc.)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons who are both (A) permitted transferees under FINRA Rule 5110(g)) and (B) affiliates of the Holder, and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Usa Technologies Inc), Warrant Agreement (Pro Pharmaceuticals Inc)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA NASD Rule 5110(g2710(g), and (ii) no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Eyetel Imaging Inc), Warrant Agreement (Response Genetics Inc)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9Warrant: (i) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g5110(e), and (ii) subject at all times to FINRA Rule 5110(e), no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Movano Inc.), Warrant Agreement (Movano Inc.)

Certain Other Transfer Restrictions. Notwithstanding any other provision of this Section 9Warrant: (ia) prior to the Exercise Date, this Warrant or the Restricted Securities thereunder may only be transferred or assigned to the persons permitted under FINRA Rule 5110(g), and (iib) subject at all times to FINRA Rule 5110(g), no opinion of counsel shall be necessary for a transfer of Restricted Securities by the holder thereof to any Person employed by or owning equity in the Holder, if the transferee agrees in writing to be subject to the terms hereof to the same extent as if the transferee were the original purchaser hereof and such transfer is permitted under applicable securities laws.

Appears in 1 contract

Samples: Warrant Agreement (ClearSign Technologies Corp)

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