Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Aeolus Pharmaceuticals, Inc.), Securities Purchase Agreement (Aeolus Pharmaceuticals, Inc.), Securities Purchase Agreement (Aeolus Pharmaceuticals, Inc.)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, either of the Agents or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Cano Petroleum, Inc), Securities Purchase Agreement (Cano Petroleum, Inc), Securities Purchase Agreement (Brooke Corp)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Liberator Medical Holdings, Inc.), Securities Purchase Agreement (Liberator Medical Holdings, Inc.)
Certain Trading Activities. Other than with respect to this Agreement and the transactions contemplated herein, since the time that such Buyer Investor was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer Investor nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) Investor which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such BuyerInvestor’s investments or trading or information concerning such BuyerInvestor’s investments and (z) is subject to such BuyerInvestor’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer Investor or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer Investor hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(g) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Nanogen Inc), Securities Purchase Agreement (Nanogen Inc)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s 's investments or trading or information concerning such Buyer’s 's investments and (z) is subject to such Buyer’s 's review or input concerning such affiliate’s Affiliate's investments or trading (collectively, “"Trading Affiliates”") has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s 's securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 2 contracts
Samples: Securities Purchase Agreement (EnterConnect Inc), Securities Purchase Agreement (DigitalFX International Inc)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company Company, neither the Buyer nor any “affiliate” affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which that (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s 's investments or trading or information concerning such Buyer’s 's investments and (z) is subject to such Buyer’s 's review or input concerning such affiliate’s 's investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s 's securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 2 contracts
Samples: Series a Convertible Preferred Stock Purchase Agreement (EnterConnect Inc), Series a Convertible Preferred Stock Purchase Agreement (EnterConnect Inc)
Certain Trading Activities. Other than Such Buyer has not, directly or indirectly, and no Person (as defined below) acting on behalf of or pursuant to any understanding with respect to such Buyer which had knowledge of the transactions contemplated hereinhereby and that (i) has or shares discretion relating to such Buyer’s investments and trading or information concerning such Buyer’s investments or (ii) is subject to such Buyer’s review or input concerning such Person’s investments or trading (the foregoing, “Buyer Trading Affiliates”), has engaged in any purchases or sales of any securities, including any derivatives, of the Company (including, without limitation, any short sales (as defined in Rule 200 promulgated under Regulation SHO of the 1934 Act, but not including any sale marked “short exempt”) involving any of the Company’s securities) (a “Transaction”) since the time that such Buyer was first contacted by the Company or any other Person regarding this the investment in the Company neither the Buyer nor any “affiliate” of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Companyherein. Such Buyer hereby covenants and agrees not to, and shall cause its that neither it nor any Buyer Trading Affiliates not to, Affiliate will engage, directly or indirectly, in any transactions in Transactions prior to the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereofdisclosed. Notwithstanding the foregoing, for the avoidance of doubt, nothing contained herein shall constitute a representation or warrantywarranty against, or preclude a prohibition of, any actions, actions with respect to the borrowing of, arrangement to borrow, identification of the availability of, or and/or securing of, available shares to borrow securities of the Company in order for such Buyer (or its broker or other financial representative) to effect short sales Short Sales or similar transactions in the future.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Eros International PLC), Securities Purchase Agreement (Eros International PLC)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Placement Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s 's investments or trading or information concerning such Buyer’s 's investments and (z) is subject to such Buyer’s 's review or input concerning such affiliate’s Affiliate's investments or trading (collectively, “"Trading Affiliates”") has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s 's securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Samples: Securities Purchase Agreement (Applied Spectrum Technologies Inc)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this the investment in the Company set forth herein neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Samples: Securities Purchase Agreement (Javo Beverage Co Inc)
Certain Trading Activities. Other than with respect to this Agreement and the transactions contemplated herein, since the time that such Buyer the Holder was first contacted by NGAS, Lazard Freres & Co. (the Company “Agent”) or any other Person regarding the transaction contemplated by this investment in the Company Agreement, neither the Buyer Holder nor any “affiliate” of such Buyer affiliate (as defined in by Rule 144 405 promulgated pursuant to the Securities Act) of the 0000 Xxx) Holder which (xi) had knowledge of the transactions contemplated hereby, (yii) has or shares discretion relating to such Buyerthe Holder’s investments or and trading or information concerning such Buyerthe Holder’s investments and (ziii) is subject to such Buyerthe Holder’s review or input concerning such affiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer the Holder or any Trading Affiliate, effected or agreed to effect any transactions in the securities of the CompanyNGAS. Such Buyer The Holder hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company NGAS or involving the CompanyNGAS’s securities during the period from the date hereof until such time as (ia) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) 4.3 hereof or (iib) this Agreement is terminated in full pursuant to Section 8 hereof6. Notwithstanding the foregoing, for the avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Certain Trading Activities. Other than with respect to this agreement and the transactions contemplated herein, since the time that such Buyer Holder was first contacted by Verenium, the Company Agents or any other Person regarding this investment in the Company Verenium, neither the Buyer Holder nor any “affiliate” of such Buyer Affiliate (as defined in by Rule 144 405 promulgated pursuant to the Securities Act) of the 0000 Xxx) such Holder which (xi) had knowledge of the transactions contemplated hereby, (yii) has or shares discretion relating to such BuyerHolder’s investments or and trading or information concerning such BuyerHolder’s investments and (ziii) is subject to such BuyerHolder’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer Holder or Trading Affiliate, effected or agreed to effect any transactions in the securities of the CompanyVerenium. Such Buyer Holder hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company Verenium or involving the CompanyVerenium’s securities during the period from the date hereof until such time as (ia) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) 4.3 hereof or (iib) this Agreement is terminated in full pursuant to Section 8 hereoffull. Notwithstanding the foregoing, for the avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company Company, neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until the earlier to occur of (i) such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) such time as this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding Other than to other Persons party to this Agreement and those expressly acknowledged by the foregoingCompany, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to Buyer has maintained the identification confidentiality of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the futureexistence and terms of this transaction.
Appears in 1 contract
Certain Trading Activities. Other than with respect to this Agreement and the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future. For the purpose of this Agreement, “Person” means an individual, a limited liability company, a partnership, a joint venture, a corporation, a trust, an unincorporated organization and a government or any department or agency thereof.
Appears in 1 contract
Certain Trading Activities. Other than with respect to this Agreement and the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectlyhas, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the sale of any securities (including any short sale) of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, engage in any transactions in sale of the securities (including any short sale) of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Samples: Securities Purchase Agreement (China Technology Development Group Corp)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s 's investments or trading or information concerning such Buyer’s 's investments and (z) is subject to such Buyer’s 's review or input concerning such affiliate’s Affiliate's investments or trading (collectively, “"Trading Affiliates”") has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s 's securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s 's investments or trading or information concerning such Buyer’s 's investments and (z) is subject to such Buyer’s 's review or input concerning such affiliate’s Affiliate's investments or trading (collectively, “"Trading Affiliates”") has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s 's securities during the period from the date hereof until (i) the later of (A) sixty (60) days after the Closing Date and (B) such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) such time as this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding Other than to other Persons party to this Agreement and those expressly acknowledged by the foregoingCompany, for avoidance such Buyer has maintained the confidentiality of doubtall disclosures made to it in connection with this transaction (including the existence and terms of this transaction). Such Buyer acknowledges the SEC's position set forth in Item 65, nothing contained herein shall constitute a representation or warrantySection 5 under Section A, or preclude any actions, with respect to the identification of the availability ofManual of Publicly Available Telephone Interpretations, or securing ofdated July 1997, available shares compiled by the Office of Chief Counsel, Division of Corporation Finance, and such Buyer will adhere to borrow in order to effect short sales or similar transactions in the futuresuch position.
Appears in 1 contract
Samples: Securities Purchase Agreement (Rancher Energy Corp.)
Certain Trading Activities. Other than with respect to this Agreement and the transactions purchase or sales contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agents (as defined below) or any other Person regarding this investment in the Company Company, neither the Buyer nor any “affiliate” of such Buyer Affiliate (as defined in by Rule 144 of 405 promulgated pursuant to the 0000 Xxx) of such Buyer which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or and trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions purchases or sales in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for the avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, any of the Agents or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” of such Buyer Affiliate (as defined in by Rule 144 of 405 promulgated pursuant to the 0000 Xxx) Xxx)xx such Buyer which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in purchase or sale of the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in purchase or sale of the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced Second Press Release is made as described in Section 4(h4(g) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cano Petroleum, Inc)
Certain Trading Activities. Other than with respect to this Agreement and the transactions contemplated herein, since the time that such Buyer the Holder was first contacted by the Company or any other Person regarding the matters contemplated by this investment in the Company Agreement, neither the Buyer Holder nor any “affiliateAffiliate” of such Buyer (as defined in Rule 144 of the 0000 XxxSecurities Act) of the Holder which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyerthe Holder’s investments or trading or information concerning such Buyerthe Holder’s investments and (z) is subject to such Buyerthe Holder’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer the Holder or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer The Holder hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereoffull. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future. For the purpose of this Agreement, “Person” means an individual, a limited liability company, a partnership, a joint venture, a corporation, a trust, an unincorporated organization and a government or any department or agency thereof.
Appears in 1 contract
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company or any other Person regarding this investment in the Company neither Neither the Buyer nor any “affiliate” of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliate’s investments or trading (collectively, “Trading Affiliates”) its affiliates has directly or indirectly, nor has any and no Person acting on behalf of or pursuant to any understanding with such the Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, affiliates has directly or indirectly, engaged in any transactions in the securities of the Company or (including, without limitation, any Short Sales involving the Company’s securities) since May 1, 2007, provided, however, that, with respect to LB I Group, the foregoing representation is made solely by, and shall apply solely to, the Global Trading Strategies group of Lxxxxx Brothers Inc. and not made by, or applicable to, any other persons, affiliates or affiliated or associated business units of Lxxxxx Brothers Holdings Inc. “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 promulgated under Regulation SHO under the 1934 Act and all types of direct and indirect stock pledges, forward sale contracts, options, puts, calls, short sales, swaps and similar arrangements (including on a total return basis), and sales and other transactions through non-US broker dealers or foreign regulated brokers. The Buyer covenants that neither it, its affiliates, nor any Person acting on its or its affiliates’ behalf will engage in any transactions in the securities during of the period from Company (including Short Sales) prior to the date hereof until such time as (i) that the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereofdisclosed. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales Short Sales or similar transactions in the future.
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Samples: Securities Purchase Agreement (Allied Defense Group Inc)
Certain Trading Activities. Other than with respect to the transactions contemplated herein, since the time that such Buyer was first contacted by the Company Company, the Agent (as defined below) or any other Person regarding this investment in the Company neither the Buyer nor any “affiliate” Affiliate of such Buyer (as defined in Rule 144 of the 0000 Xxx) which (x) had knowledge of the transactions contemplated hereby, (y) has or shares discretion relating to such Buyer’s investments or trading or information concerning such Buyer’s investments and (z) is subject to such Buyer’s review or input concerning such affiliateAffiliate’s investments or trading (collectively, “Trading Affiliates”) has directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with such Buyer or Trading Affiliate, effected or agreed to effect any transactions in the securities of the Company. Such Buyer hereby covenants and agrees not to, and shall cause its Trading Affiliates not to, engage, directly or indirectly, in any transactions in the securities of the Company or involving the Company’s securities during the period from the date hereof until such time as (i) the transactions contemplated by this Agreement are first publicly announced as described in Section 4(h4(i) hereof or (ii) this Agreement is terminated in full pursuant to Section 8 hereof. Notwithstanding the foregoing, for avoidance of doubt, nothing contained herein shall constitute a representation or warranty, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions in the future.
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