Common use of Compliance with Rule 144 Clause in Contracts

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 9 contracts

Samples: Warrant Agreement (Turtle Beach Corp), Warrant Agreement (Turtle Beach Corp), Warrant Agreement (Turtle Beach Corp)

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Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 7 contracts

Samples: Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Your Internet Defender, Inc)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 5 contracts

Samples: Loan and Security Agreement (ChromaDex Corp.), Warrant Agreement (Staar Surgical Co), Warrant Agreement (Babyuniverse, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Preferred Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming confirming, if true, the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 3 contracts

Samples: Warrant Agreement (Aegerion Pharmaceuticals, Inc.), Warrant Agreement (Aegerion Pharmaceuticals, Inc.), Warrant Agreement (Aegerion Pharmaceuticals, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Preferred Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 3 contracts

Samples: Warrant Agreement (Intuity Medical, Inc.), Warrant Agreement (Intuity Medical, Inc.), Warrant Agreement (Arsanis, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time. The Company will use commercially reasonable efforts to maintain compliance with Rule 144 periodic reporting requirements.

Appears in 3 contracts

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

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming regarding the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 3 contracts

Samples: Warrant Agreement (American Superconductor Corp /De/), Warrant Agreement (American Superconductor Corp /De/), Warrant Agreement (American Superconductor Corp /De/)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Warrant in compliance with Rule 144 promulgated by the SECSecurities and Exchange Commission, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 3 contracts

Samples: Identiv, Inc., Identiv, Inc., Identive Group, Inc.

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, if applicable, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 2 contracts

Samples: Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Aveo Pharmaceuticals Inc)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock shares of the Class issuable upon the exercise of this AgreementAgreement (or, if applicable, the Common Stock into which such shares are convertible), in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 2 contracts

Samples: Warrant Agreement (Gelesis Inc), Warrant Agreement (Gelesis Inc)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Warrant in compliance with Rule 144 promulgated by the Securities and Exchange Commission (the “SEC”), then, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming confirming, if true, the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to timetime if applicable to the Company.

Appears in 2 contracts

Samples: Warrant Agreement (Epicept Corp), Warrant Agreement (Epicept Corp)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Series C Preferred Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 2 contracts

Samples: Warrant Agreement (Everyday Health, Inc.), Warrant Agreement (Everyday Health, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 2 contracts

Samples: Warrant Agreement (NeurogesX Inc), Warrant Agreement (Diomed Holdings Inc)

Compliance with Rule 144. If At the Warrantholder written request of the Warrantholder, who proposes to sell Common Stock issuable upon the exercise of this Agreement, the Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the CompanySecurities and Exchange commission, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s company's compliance with the filing requirements of the SEC Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Open Port Technology Inc

Compliance with Rule 144. If the Warrantholder proposes to sell shares of Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the Securities and Exchange Commission (the “SEC”), then, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Yumanity Therapeutics, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Preferred Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Dicerna Pharmaceuticals Inc)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this AgreementWarrant, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Anthera Pharmaceuticals Inc)

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Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, in compliance with Rule 144 promulgated by the SEC, then, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten (10) days after receipt of such request, a written statement confirming indicating whether the Company’s Company is in compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (BIND Therapeutics, Inc)

Compliance with Rule 144. If At the Warrantholder written request of the Warrantholder, who proposes to sell Common Stock issuable upon the exercise of this Agreement, the Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the CompanySecurities and Exchange Commission, the Company shall furnish to the Warrantholder, within ten (10) days after receipt of such request, a written statement confirming the Company’s 's compliance with the filing requirements of the SEC Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Redenvelope Inc)

Compliance with Rule 144. If At the Warrantholder written request of the ------------------------ Warrantholder, who proposes to sell Common Stock issuable upon the exercise of this Agreement, the Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the CompanySecurities and Exchange Commission, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s 's compliance with the filing requirements of the SEC Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Curis Inc)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the SEC, then, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the status of the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time. SECTION 10.

Appears in 1 contract

Samples: Loan and Security Agreement (Tricida, Inc.)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the SEC, then, to the extent such sale is permitted pursuant to Rule 144, upon the Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (RedBall Acquisition Corp.)

Compliance with Rule 144. If At the Warrantholder written request of the Warrantholder, who proposes to sell Common Stock issuable upon the exercise of this Agreement, the Warrant in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s 's compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Praecis Pharmaceuticals Inc

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s 's written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s 's compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Interplay Entertainment Corp

Compliance with Rule 144. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement, Warrant in compliance with Rule 144 promulgated by the SECSecurities and Exchange Commission, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing Form of Warrant Identive Group, Inc. Credit Agreement requirements of the SEC Securities and Exchange Commission as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: General Security Agreement (Identive Group, Inc.)

Compliance with Rule 144. If Following the Initial Public Offering or in the event the Company is publicly traded, if the Warrantholder proposes to sell Preferred Stock or Common Stock issuable upon the exercise of this Agreement, Agreement in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (Melinta Therapeutics, Inc. /New/)

Compliance with Rule 144. If the Warrantholder proposes to sell Common Preferred Stock issuable upon the exercise of this Agreement, or the Common Stock into which it is convertible, in compliance with Rule 144 promulgated by the SEC, then, upon Warrantholder’s written request to the Company, the Company shall furnish to the Warrantholder, within ten business days after receipt of such request, a written statement confirming the Company’s compliance with the filing requirements of the SEC as set forth in such Rule, as such Rule may be amended from time to time.

Appears in 1 contract

Samples: Warrant Agreement (BrightSource Energy Inc)

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