Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date: (i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective. (ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission. (iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 33 contracts
Samples: Underwriting Agreement (Apogee Therapeutics, Inc.), Underwriting Agreement (Silvaco Group, Inc.), Underwriting Agreement (Apogee Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 32 contracts
Samples: Underwriting Agreement (Scilex Holding Co), Underwriting Agreement (Volitionrx LTD), Underwriting Agreement (Ocugen, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 31 contracts
Samples: Underwriting Agreement (Ocular Therapeutix, Inc), Underwriting Agreement (Abeona Therapeutics Inc.), Underwriting Agreement (AC Immune SA)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 18 contracts
Samples: Underwriting Agreement (Rezolute, Inc.), Underwriting Agreement (RadNet, Inc.), Underwriting Agreement (Larimar Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 18 contracts
Samples: Underwriting Agreement (Ardea Biosciences, Inc./De), Underwriting Agreement (Quidel Corp /De/), Underwriting Agreement (Somaxon Pharmaceuticals, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 15 contracts
Samples: Underwriting Agreement (Osmotica Pharmaceuticals PLC), Underwriting Agreement (Codiak BioSciences, Inc.), Underwriting Agreement (LogicBio Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 12 contracts
Samples: Underwriting Agreement (Morphic Holding, Inc.), Underwriting Agreement (Arcellx, Inc.), Underwriting Agreement (Arcellx, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 12 contracts
Samples: Underwriting Agreement (Cti Biopharma Corp), Underwriting Agreement (Cti Biopharma Corp), Underwriting Agreement (Synta Pharmaceuticals Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 11 contracts
Samples: Underwriting Agreement (Edesa Biotech, Inc.), Underwriting Agreement (Aeterna Zentaris Inc.), Underwriting Agreement (Allena Pharmaceuticals, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 9 contracts
Samples: Underwriting Agreement (Xeris Pharmaceuticals Inc), Underwriting Agreement (Xeris Pharmaceuticals Inc), Underwriting Agreement (Xeris Pharmaceuticals Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares Option Securities purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 8 contracts
Samples: Underwriting Agreement (Phio Pharmaceuticals Corp.), Underwriting Agreement (Phio Pharmaceuticals Corp.), Underwriting Agreement (Opgen Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 8 contracts
Samples: Underwriting Agreement (Aclaris Therapeutics, Inc.), Underwriting Agreement (Aclaris Therapeutics, Inc.), Underwriting Agreement (CareDx, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B under the Securities Act, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 8 contracts
Samples: Underwriting Agreement (Zynerba Pharmaceuticals, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (Zynerba Pharmaceuticals, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 8 contracts
Samples: Underwriting Agreement (Axovant Gene Therapies Ltd.), Underwriting Agreement (Sesen Bio, Inc.), Underwriting Agreement (MEI Pharma, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing DateOption Shares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or or, to the Company’s knowledge, threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 7 contracts
Samples: Underwriting Agreement (RCS Capital Corp), Underwriting Agreement (RCS Capital Corp), Underwriting Agreement (American Realty Capital Properties, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A under the Securities Act430B) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (Manchester United PLC), Underwriting Agreement (Manchester United PLC), Underwriting Agreement (Manchester United PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the IPO Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the .
(ii) The Company shall have filed a post-effective amendment the Market Making Prospectus, subject to the Registration Statement containing prior approval of Jefferies, in the information manner and within the time period required by such Rule 430A, and such post-effective amendment shall have become effective424(b) under the Securities Act.
(iiiii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iiiiv) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (Landcadia Holdings II, Inc.), Underwriting Agreement (Landcadia Holdings II, Inc.), Underwriting Agreement (Landcadia Holdings IV, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (Horizon Pharma, Inc.), Underwriting Agreement (Proto Labs Inc), Underwriting Agreement (Edgen Group Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (CohBar, Inc.), Underwriting Agreement (Ekso Bionics Holdings, Inc.), Underwriting Agreement (Bio-Path Holdings Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A and 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430A and 430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 6 contracts
Samples: Underwriting Agreement (Outlook Therapeutics, Inc.), Underwriting Agreement (AzurRx BioPharma, Inc.), Underwriting Agreement (Ekso Bionics Holdings, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and and, to the knowledge of the Company, no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 5 contracts
Samples: Underwriting Agreement (Auris Medical Holding Ltd.), Underwriting Agreement (Auris Medical Holding Ltd.), Underwriting Agreement (Auris Medical Holding Ltd.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 5 contracts
Samples: Underwriting Agreement (KalVista Pharmaceuticals, Inc.), Underwriting Agreement (Savara Inc), Underwriting Agreement (Rezolute, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 5 contracts
Samples: Underwriting Agreement (PAVmed Inc.), Underwriting Agreement (HTG Molecular Diagnostics, Inc), Underwriting Agreement (Novan, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 4 contracts
Samples: Underwriting Agreement (LogicBio Therapeutics, Inc.), Underwriting Agreement (Scholar Rock Holding Corp), Underwriting Agreement (Tcr2 Therapeutics Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The i. the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under 430 Information previously omitted from the Securities ActRegistration Statement) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No . no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 4 contracts
Samples: Underwriting Agreement (Emerald Oil, Inc.), Underwriting Agreement (Emerald Oil, Inc.), Underwriting Agreement (Callon Petroleum Co)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 4 contracts
Samples: Underwriting Agreement (Bellicum Pharmaceuticals, Inc), Underwriting Agreement (Bellicum Pharmaceuticals, Inc), Underwriting Agreement (Bellicum Pharmaceuticals, Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A or previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430A or previously omitted pursuant to such Rule 430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Vector Group LTD), Underwriting Agreement (Vector Group LTD), Underwriting Agreement (Vector Group LTD)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Connect Biopharma Holdings LTD), Underwriting Agreement (I-Mab), Underwriting Agreement (I-Mab)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A promulgated under the Securities Act) in the manner and within the time period required by Rule 424(b) promulgated under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Bravo Brio Restaurant Group, Inc.), Underwriting Agreement (Bravo Brio Restaurant Group, Inc.), Underwriting Agreement (Bravo Brio Restaurant Group, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The i. the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No . no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) . the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Chuy's Holdings, Inc.), Underwriting Agreement (Chuy's Holdings, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the Exchange Act Registration Statement or any post-effective amendment to the Exchange Act Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Presbia PLC), Underwriting Agreement (Presbia PLC), Underwriting Agreement (Presbia PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Advaxis, Inc.), Placement Agency Agreement (Advaxis, Inc.), Underwriting Agreement (Advaxis, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing DateOption Shares, each Option the Second Closing Date:
(i) The Company the Prospectus and any Issuer Free Writing Prospectus required to be filed shall have been filed the Prospectus with the Commission (including the information as required by Rule 430A Rules 424, 430A, 430B, 430C or 433 under the Securities Act) in the manner and , as applicable, within the time period required by Rule 424(b) prescribed by, and in compliance with, the rules and regulations under the Securities Act; or , and any request by the Company shall have filed a post-effective amendment Commission for additional information (to be included in the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment or otherwise) shall have become effective.been disclosed to the Representative and complied with to its reasonable satisfaction;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (First Potomac Realty Trust), Underwriting Agreement (First Potomac Realty Trust), Underwriting Agreement (First Potomac Realty Trust)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Ikena Oncology, Inc.), Underwriting Agreement (Forma Therapeutics Holdings, Inc.), Underwriting Agreement (Forma Therapeutics Holdings, Inc.,)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 3 contracts
Samples: Underwriting Agreement (Pacific Biosciences of California, Inc.), Underwriting Agreement (Pacific Biosciences of California, Inc.), Underwriting Agreement (Pacific Biosciences of California, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Inverness Medical Innovations Inc), Underwriting Agreement (Inverness Medical Innovations Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing DateAgreement:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: At the Market Sales Agreement (Zosano Pharma Corp), At the Market Sales Agreement (Zosano Pharma Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, and each Option Subsequent Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Red Mountain Resources, Inc.), Underwriting Agreement (Red Mountain Resources, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the Company’s knowledge, threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Secoo Holding LTD), Underwriting Agreement (Yintech Investment Holdings LTD)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing DateOption Shares, each Option the Second Closing Date:
(i) The Company the Prospectus and any Issuer Free Writing Prospectus required to be filed shall have been filed the Prospectus with the Commission (including the information as required by Rule 430A Rules 424, 430A, 430B, 430C or 433 under the Securities Act) in the manner and , as applicable, within the time period required by Rule 424(b) prescribed by, and in compliance with, the rules and regulations under the Securities Act; or , and any request by the Company shall have filed a post-effective amendment Commission for additional information (to be included in the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment or otherwise) shall have become effective.been disclosed to the Representatives and complied with to its reasonable satisfaction;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (First Potomac Realty Trust), Underwriting Agreement (First Potomac Realty Trust)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares and/or Option Warrants purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Ur-Energy Inc), Underwriting Agreement (Ur-Energy Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each the Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Evofem Biosciences, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (scPharmaceuticals Inc.), Underwriting Agreement (scPharmaceuticals Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) there shall be no pending objection from FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Velti PLC), Underwriting Agreement (Velti PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Synthorx, Inc.), Underwriting Agreement (Equillium, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares Option ADSs purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement, the ADS Registration Statement, any Rule 462(b) Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Adlai Nortye Ltd.), Underwriting Agreement (Aesthetic Medical International Holdings Group LTD)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Liquidia Technologies Inc), Underwriting Agreement (Advaxis, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior the First Closing Date and, with respect to any Optional Shares purchased after the First Closing DateOptions Shares, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Newlink Genetics Corp), Underwriting Agreement (Newlink Genetics Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares Option Securities purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Evofem Biosciences, Inc.), Underwriting Agreement (Evofem Biosciences, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (TELA Bio, Inc.), Underwriting Agreement (TELA Bio, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including the First Closing Date and, with respect prior to any Optional Shares purchased after the First Closing Date, each Option Closing Representation Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; , as well as (a) any amendments and/or supplements to the Prospectus in compliance with Section 5 of this Agreement and (b) all requests for additional information on the part of the Commission (to be included or the Company shall have filed a post-effective amendment to incorporated by reference in the Registration Statement containing or the information required by such Rule 430A, and such post-effective amendment Prospectus or otherwise) shall have become effective.been complied with to the reasonable satisfaction of the Agent;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting sales agency terms and arrangements.
Appears in 2 contracts
Samples: Sales Agency Agreement (Discovery Laboratories Inc /De/), Sales Agency Agreement (Evergreen Energy Inc)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Keros Therapeutics, Inc.), Underwriting Agreement (Keros Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Pioneer Drilling Co), Underwriting Agreement (Pioneer Drilling Co)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The i. the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under 430 Information previously omitted from the Securities ActRegistration Statement) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430 Information, and such post-effective amendment shall have become effective.;
(ii) No . no stop order suspending the effectiveness of the Registration Statement, any 462(b) Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Triangle Petroleum Corp), Underwriting Agreement (Triangle Petroleum Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) i. The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) . No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Zoe's Kitchen, Inc.), Underwriting Agreement (Zoe's Kitchen, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares Securities purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Allurion Technologies, Inc.), Underwriting Agreement (Allurion Technologies, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Miragen Therapeutics, Inc.), Underwriting Agreement (Miragen Therapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Caribou Coffee Company, Inc.), Underwriting Agreement (Salix Pharmaceuticals LTD)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateADSs, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 2 contracts
Samples: Underwriting Agreement (Luxfer Holdings PLC), Underwriting Agreement (Celsus Therapeutics Plc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Iovance Biotherapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) and the Securities Commissions in the manner and within the time period required by Rule 424(b) under the Securities ActAct and Canadian Securities Laws, as applicable; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the CommissionCommission or any of the Securities Regulators.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Helius Medical Technologies, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The the Company shall have filed filed, with the Commission, either (A) the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed (B) a post-effective amendment to the Registration Statement containing (including the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B under the Securities Act), and provided that such post-effective amendment shall have become effective.effective prior to the Applicable Time;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Cerus Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective post‑effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For The Prospectus containing the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company Rule 430B Information shall have been filed the Prospectus with the Commission (including the information required by pursuant to Rule 430A under the Securities Act424(b) in the manner and within the time period required by Rule 424(b) (without reliance on Rule 424(d)(8)) and in accordance with Section 3(a) hereof, the Final Term Sheet and any other material required to be filed by the Company pursuant to Rule 433(d) under the Securities Act; or the Company Act shall have been filed a post-effective amendment to with the Registration Statement containing Commission within the information required applicable time periods prescribed for such filings by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No 433; no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement part thereof shall be in effect, have been issued and no proceedings proceeding for such that purpose shall have been instituted initiated or threatened by the Commission.
(iii) ; all requests for additional information on the part of the Commission shall have been complied with to the reasonable satisfaction of the Representative; and, to the extent applicable, the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act[; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective].
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:(i) The Registration Statement shall have become effective.
(iii) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A, and such post-effective amendment shall have become effective.
(iiiii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iiiiv) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Acadia Healthcare Company, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) the FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Strongbridge Biopharma PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no continuing objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Avadel Pharmaceuticals PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements, or the offering shall be otherwise exempt from filing with FINRA under FINRA Rule 5110(h)(1)(C).
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including prior to the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Subsequent Closing Date:
(i) The i. the Company shall have filed the Prospectus Offering Circular with the Commission (including the information required by Rule 430A under 430 Information previously omitted from the Securities ActQualification Statement) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Qualification Statement containing the information required by such Rule 430A430 Information, and such post-effective amendment shall have become effective.;
(ii) No . no stop order suspending the effectiveness of the Registration Qualification Statement, any 462(b) Qualification Statement or any post-effective amendment to the Registration Statement Qualification Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateADSs, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, the ADS Registration Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement, the ADS Registration Statement or shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (BCD Semiconductor Manufacturing LTD)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A or previously omitted from the Registration Statement pursuant to Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430A or previously omitted from the Registration Statement pursuant to such Rule 430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The i. the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No . no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) . FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For (A) the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(iiB) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iiiC) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Aegerion Pharmaceuticals, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-post effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing previously omitted from the information required by such Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A or Rule 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430A or Rule 430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing is required, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Enovix Corp)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such previously omitted from the Registration Statement pursuant to Rule 430A430B, and such post-effective posteffective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose or pursuant to Section 8A of the Securities Act shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing previously omitted from the information required by such Registration Statement pursuant to Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted from the Registration Statement pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the Company’s knowledge, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Sucampo Pharmaceuticals, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or, to the Company’s knowledge, are contemplated or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Artiva Biotherapeutics, Inc.)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares ADSs purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) (without reliance on Rule 424(b)(8)) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A430B, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares ADSs purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement or the F-6 Registration Statement or any post-effective amendment to the F-6 Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or or, to the knowledge of the Company, threatened by the Commission.
(iii) If a filing has been made with FINRA, FINRA shall have raised no continuing objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Avadel Pharmaceuticals PLC)
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date effectiveness of this Agreement and through and including prior to the First Closing Date and, with respect to any the Optional Shares purchased after the First Closing DateShares, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement Statement, any Rule 462(b) Registration Statement, or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted instituted, or to the Company’s knowledge, threatened by the Commission.; and
(iii) if a filing has been made with FINRA, FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the a period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Option Shares purchased after the First Closing Date, each Option Closing Date:
(i) The Company shall have filed the Prospectus with the Commission (including the information required by Rule 430A under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective post -effective amendment to the Registration Statement containing the information required by such Rule 430A, and such post-effective amendment shall have become effective.
(ii) No stop order suspending the effectiveness of the Registration Statement or any post-effective amendment to the Registration Statement shall be in effect, and no proceedings for such purpose shall have been instituted or threatened by the Commission.
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Compliance with Registration Requirements; No Stop Order; No Objection from FINRA. For the period from and after the date of this Agreement and through and including the First Closing Date and, with respect to any Optional Shares purchased after the First Closing Date, each Option Closing Date:
(i) The the Company shall have filed the Prospectus with the Commission (including the information required by previously omitted from the Registration Statement pursuant to Rule 430A 430B under the Securities Act) in the manner and within the time period required by Rule 424(b) under the Securities Act; or the Company shall have filed a post-effective amendment to the Registration Statement containing the information required by previously omitted pursuant to such Rule 430A430B, and such post-effective amendment shall have become effective.;
(ii) No no stop order suspending the effectiveness of the Registration Statement (including for the avoidance of any doubt, any Rule 462(b) Registration Statement), or any post-effective amendment to the Registration Statement Statement, shall be in effect, effect and no proceedings for such purpose shall have been instituted or threatened by the Commission.; and
(iii) FINRA shall have raised no objection to the fairness and reasonableness of the underwriting terms and arrangements.
Appears in 1 contract
Samples: Underwriting Agreement (Biosante Pharmaceuticals Inc)
