Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's securities) since the date that such Investor was presented with draft documentation relating to the transactions proposed hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 4 contracts
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft first received documentation relating to the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to the transactions proposed hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 4 contracts
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such The Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 3 contracts
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 3 contracts
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 2 contracts
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc), Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction transactions through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Rock Creek Pharmaceuticals, Inc.), Securities Purchase Agreement (Rock Creek Pharmaceuticals, Inc.)
Certain Trading Activities. Neither such Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction transactions through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 2 contracts
Samples: Securities Purchase and Registration Rights Agreement (BioCardia, Inc.), Securities Purchase and Registration Rights Agreement (Rock Creek Pharmaceuticals, Inc.)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock Shares (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 1 contract
Samples: Share Purchase and Registration Rights Agreement (QLT Inc/Bc)
Certain Trading Activities. Neither Investor Lender nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such InvestorLender, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor Lender was presented with draft documentation relating to the transactions proposed hereby. For the purposes of this Section 4.47.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor Lender covenants that neither ithe, nor any person acting on its his behalf or pursuant to any understanding with ithim, will engage in any transaction in the securities of the Company (including short salesShort Sales) prior to the completion of one trading day following the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transactionthe transactions contemplated hereby.
Appears in 1 contract
Samples: Loan Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of his/its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither he/it, nor any person acting on his/its behalf or pursuant to any understanding with him/it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transaction.
Appears in 1 contract
Samples: Securities Purchase and Registration Rights Agreement (Rock Creek Pharmaceuticals, Inc.)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4Section, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange 1934 Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, K or press release, or other applicable Exchange Act report release reporting this transaction.
Appears in 1 contract
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such Investor, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor was presented with draft documentation relating to first became aware of the transactions proposed contemplated hereby. For the purposes of this Section 4.4Section, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange 1934 Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short sales) prior to the Company’s filing with the Commission of a Current Report on Form 8-K, Annual K or Quarterly Report on Form 10-K, Q or the issuance of a press release, or other applicable Exchange Act report in each case, reporting this transaction.
Appears in 1 contract
Samples: Securities Purchase and Registration Rights Agreement (Star Scientific Inc)
Certain Trading Activities. Neither Investor Lender nor any of its affiliates has directly or indirectly, nor has any person acting on behalf of or pursuant to any understanding with such InvestorLender, engaged in any purchase or sale of Common Stock (including, without limitation, any Short Sales (as defined below) involving the Company's ’s securities) since the date that such Investor Lender was presented with draft documentation relating to the transactions proposed hereby. For the purposes of this Section 4.47.4, “Short Sales” include, without limitation, all “short sales” as defined in Rule 200 of Regulation SHO adopted under the Exchange Act and all types of direct and indirect stock pledges, forward sales contracts, options, puts, calls, short sales and other transaction through non-US broker-dealers or foreign regulated brokers having the effect of hedging the securities of the Company or the investment contemplated under this Agreement. Such Investor Lender covenants that neither it, nor any person acting on its behalf or pursuant to any understanding with it, will engage in any transaction in the securities of the Company (including short salesShort Sales) prior to the completion of one trading day following the filing of a Current Report on Form 8-K, Annual Report on Form 10-K, press release, or other applicable Exchange Act report reporting this transactionthe transactions contemplated hereby.
Appears in 1 contract