Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 48 contracts
Samples: Underwriting Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp), Equity Distribution Agreement (Prospect Capital Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 33 contracts
Samples: Underwriting Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp), Underwriting Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp), Purchase Agreement (OncoCyte Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 30 contracts
Samples: Atm Equity Offering Sales Agreement (Fibrogen Inc), Sales Agreement (Exscientia PLC), Equity Distribution Agreement (Fibrogen Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 23 contracts
Samples: Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 18 contracts
Samples: Securities Purchase Agreement (Avinger Inc), Securities Purchase Agreement, Securities Purchase Agreement (T2 Biosystems, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act), the scope of which includes interactive data in eXtensible Business Reporting Language) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 13 contracts
Samples: Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/), Underwriting Agreement (Zions Bancorporation /Ut/)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the applicable requirements of the Exchange Act; and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company. The Company and has carried out evaluations of the Adviser, and such effectiveness of its disclosure controls and procedures are effective to perform as required by Rule 13a-15 of the functions for which they were establishedExchange Act.
Appears in 11 contracts
Samples: Securities Purchase Agreement (Regulus Therapeutics Inc.), Securities Purchase Agreement (Regulus Therapeutics Inc.), Securities Purchase Agreement (Anebulo Pharmaceuticals, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and designed such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 10 contracts
Samples: Underwriting Agreement (Naked Brand Group Inc.), Underwriting Agreement (Naked Brand Group Inc.), Underwriting Agreement (BioPharmX Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 9 contracts
Samples: Subscription Agreement (Wrap Technologies, Inc.), Subscription Agreement, Subscription Agreement (Amesite Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within those entities; and, except as disclosed in the Company and the AdviserGeneral Disclosure Package, and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 9 contracts
Samples: Sales Agency Financing Agreement (Boston Properties LTD Partnership), Sales Agency Financing Agreement (Boston Properties LTD Partnership), Sales Agency Financing Agreement
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 8 contracts
Samples: Underwriting Agreement (Orthopediatrics Corp), Underwriting Agreement (Orthopediatrics Corp), Underwriting Agreement (Rockwell Medical, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); ) that comply with the requirements of the Exchange Act, such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviserthose entities, and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 8 contracts
Samples: Underwriting Agreement (Exelon Corp), Underwriting Agreement (Exelon Corp), Underwriting Agreement (Exelon Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures , which are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, those entities and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 7 contracts
Samples: Underwriting Agreement (FIDUS INVESTMENT Corp), Underwriting Agreement (FIDUS INVESTMENT Corp), Equity Distribution Agreement (FIDUS INVESTMENT Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and in the Prospectus.
Appears in 7 contracts
Samples: At the Market Sales Agreement (Beyond Air, Inc.), At the Market Offering Agreement (Marker Therapeutics, Inc.), Sales Agreement (Beyond Air, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act applicable to the Company; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 6 contracts
Samples: Equity Distribution Agreement (Denali Therapeutics Inc.), Equity Distribution Agreement (Denali Therapeutics Inc.), Equity Distribution Agreement (Denali Therapeutics Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls . Except as disclosed in the Registration Statement and procedures are designed the Prospectus, to ensure that material information relating to the knowledge of the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective in timely alerting the Company’s principal executive officer and principal financial officer to perform information required to be disclosed by the functions for which they were establishedCompany in its periodic reports under the Exchange Act.
Appears in 6 contracts
Samples: Equity Distribution Agreement (Arlington Asset Investment Corp.), Equity Distribution Agreement (Arlington Asset Investment Corp.), Equity Distribution Agreement (Arlington Asset Investment Corp.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 6 contracts
Samples: Underwriting Agreement (K2m Group Holdings, Inc.), Underwriting Agreement (K2m Group Holdings, Inc.), Purchase Agreement (K2m Group Holdings, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and, except as disclosed in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus, such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Company’s Exchange Act filings and other public disclosure documents.
Appears in 6 contracts
Samples: Underwriting Agreement (OptimizeRx Corp), Underwriting Agreement (OptimizeRx Corp), Underwriting Agreement (OptimizeRx Corp)
Disclosure Controls. The Company has established and maintains “disclosure controls and procedures procedures” (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the General Disclosure Package and in the Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (pSivida Corp.), Underwriting Agreement (pSivida Corp.), Underwriting Agreement (Microvision Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the AdviserSubsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the SEC Reports.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Eloxx Pharmaceuticals, Inc.), Securities Purchase Agreement (Sonendo, Inc.), Securities Purchase Agreement (Sonendo, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Exchange Act Rules) designed to comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been reasonably designed to ensure that material information relating required to be disclosed by the Company, including material information pertaining Company is accumulated and communicated to the Company’s operations and assets managed by the Advisermanagement, is made known to including the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 5 contracts
Samples: Underwriting Agreement (Sutro Biopharma, Inc.), Underwriting Agreement (Sutro Biopharma, Inc.), Underwriting Agreement (Sutro Biopharma, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Augmedix, Inc.), Subscription Agreement (Octopus Investments Ltd.), Subscription Agreement (SmartKem, Inc.)
Disclosure Controls. The Company has established and maintains and evaluates “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); , such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer and its Chief Financial Officer by others within the Company and the Adviserthose entities, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 4 contracts
Samples: Underwriting Agreement (CatchMark Timber Trust, Inc.), Underwriting Agreement (CatchMark Timber Trust, Inc.), Underwriting Agreement (CatchMark Timber Trust, Inc.)
Disclosure Controls. The Company has established developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act Regulations) that comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within those entities; and, except as set forth in the Company Registration Statement, the Pricing Disclosure Package and the AdviserProspectus, and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 4 contracts
Samples: Underwriting Agreement (EVmo, Inc.), Underwriting Agreement (EVmo, Inc.), Underwriting Agreement (EVmo, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its Subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 4 contracts
Samples: Sales Agreement (Atara Biotherapeutics, Inc.), Underwriting Agreement (Vitamin Shoppe, Inc.), Underwriting Agreement (Vitamin Shoppe, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act as applicable to the Company; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 4 contracts
Samples: Sales Agreement (Unity Biotechnology, Inc.), Sales Agreement (Unity Biotechnology, Inc.), Sales Agreement (Unity Biotechnology, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, principal financial officer and such disclosure controls and procedures are effective to perform the functions for which they were established. The Company has utilized such controls and procedures in preparing and evaluating the disclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Motorsport Gaming Us LLC), Underwriting Agreement (DiaMedica Therapeutics Inc.), Underwriting Agreement (Crexendo, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Company SEC Documents.
Appears in 4 contracts
Samples: Secured Convertible Note Purchase and Security Agreement (Acer Therapeutics Inc.), Convertible Note Purchase Agreement (Quantum Fuel Systems Technologies Worldwide, Inc.), Convertible Note and Warrant Purchase Agreement (Quantum Fuel Systems Technologies Worldwide, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); such disclosure controls and procedures are ) that have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, Company; and such disclosure controls and procedures are effective to perform the functions for which they were establishedin all material respects.
Appears in 4 contracts
Samples: Sales Agreement (Vir Biotechnology, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under that comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 4 contracts
Samples: Purchase Agreement (Palo Alto Networks Inc), Purchase Agreement (Palo Alto Networks Inc), Purchase Agreement
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (IZEA Worldwide, Inc.), Underwriting Agreement (Yuma Energy, Inc.), Purchase Agreement (Tactile Systems Technology Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Securities Exchange Act of 1934 (the “Exchange Act”); such disclosure controls and procedures ) which are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its consolidated subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, and such those entities. Such disclosure controls and procedures are effective to perform the functions for which they were established.effective;
Appears in 4 contracts
Samples: Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.), Underwriting Agreement (Rockwood Holdings, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial executive officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were established.effective;
Appears in 4 contracts
Samples: Purchase Agreement (Hornbeck Offshore Services Inc /La), Purchase Agreement (Hornbeck Offshore Services Inc /La), Purchase Agreement (Hornbeck Offshore Services Inc /La)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 4 contracts
Samples: Underwriting Agreement (Prospect Energy Corp), Underwriting Agreement (Gladstone Investment Corporation\de), Underwriting Agreement (Prospect Energy Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under of the Exchange Act Rules) that comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been designed to ensure that material information relating required to be disclosed by the Company, including material information pertaining Company is accumulated and communicated to the Company’s operations and assets managed by the Advisermanagement, is made known to including the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviserthose entities, and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 3 contracts
Samples: Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.)
Disclosure Controls. The To the extent required under applicable laws, the Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 Rules 13a-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 3 contracts
Samples: Purchase Agreement (Habit Restaurants, Inc.), Purchase Agreement (Habit Restaurants, Inc.), Purchase Agreement (Habit Restaurants, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); such disclosure controls and procedures are ) designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, principal financial officer and such disclosure controls and procedures are effective to perform the functions for which they were established. The Company has utilized such controls and procedures in preparing and evaluating the disclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Direct Digital Holdings, Inc.), Underwriting Agreement (Direct Digital Holdings, Inc.), Underwriting Agreement (Direct Digital Holdings, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Purchase Agreement (Neuronetics, Inc.), Purchase Agreement (Neuronetics, Inc.), Purchase Agreement (Neuronetics, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and in the Prospectus.
Appears in 3 contracts
Samples: At Market Issuance Sales Agreement (Phunware, Inc.), At Market Issuance Sales Agreement (Phunware, Inc.), Sales Agreement (Spring Bank Pharmaceuticals, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the applicable requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 3 contracts
Samples: Underwriting Agreement (Otis Worldwide Corp), Underwriting Agreement (Otis Worldwide Corp), Underwriting Agreement (Otis Worldwide Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiary, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.), Underwriting Agreement (Spring Bank Pharmaceuticals, Inc.), Purchase Agreement (Icad Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Pfenex Inc.), Underwriting Agreement (Pfenex Inc.), Underwriting Agreement (Pfenex Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Company’s Exchange Act filings and other public disclosure documents.
Appears in 3 contracts
Samples: Underwriting Agreement (Viking Therapeutics, Inc.), Underwriting Agreement (Viking Therapeutics, Inc.), Underwriting Agreement (Viking Therapeutics, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, principal financial officer and such disclosure controls and procedures are effective to perform the functions for which they were established. The Company has utilized such controls and procedures in preparing and evaluating the disclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (Super League Gaming, Inc.)
Disclosure Controls. The Company has established and maintains “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Exchange Act); such disclosure controls ) that comply with the applicable requirements of the Exchange Act and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer chief executive officer and Chief Financial Officer chief financial officer by others within the Company and the Adviser, or any of its subsidiaries; and such disclosure controls and procedures are reasonably effective to perform the functions for which they were establishedestablished subject to the limitations of any control system.
Appears in 3 contracts
Samples: Underwriting Agreement (La Quinta Holdings Inc.), Underwriting Agreement (La Quinta Holdings Inc.), Underwriting Agreement (La Quinta Holdings Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-15(e) and 15d-15 15d-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Purchase Agreement (Celcuity Inc.), Underwriting Agreement (Fresh Vine Wine, Inc.), Underwriting Agreement (Fresh Grapes, LLC)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and in the Prospectus.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Motus GI Holdings, Inc.), Equity Distribution Agreement (Motus GI Holdings, Inc.), Equity Distribution Agreement
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Limbach Holdings, Inc.), Underwriting Agreement (Heritage Global Inc.), Underwriting Agreement (Endologix Inc /De/)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures , which are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviserthose entities, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 3 contracts
Samples: Underwriting Agreement (FIDUS INVESTMENT Corp), Underwriting Agreement (FIDUS INVESTMENT Corp), Underwriting Agreement (FIDUS INVESTMENT Corp)
Disclosure Controls. The Company has established and maintains “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure provide reasonable assurance that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 3 contracts
Samples: Underwriting Agreement (Delta Air Lines, Inc.), Underwriting Agreement (Delta Air Lines Inc /De/), Underwriting Agreement (Delta Air Lines Inc /De/)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); , and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Full House Resorts Inc), Purchase Agreement (EnerJex Resources, Inc.), Purchase Agreement (EnerJex Resources, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the AdviserSubsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Progenity, Inc.), Purchase Agreement (Progenity, Inc.), Purchase Agreement (Progenity, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer by others within the principal financial officer. The Company and the Adviser, and has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, the General Disclosure Package and the Final Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (CAI International, Inc.), Underwriting Agreement (CAI International, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures ) which (i) are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer 's principal executive officer and Chief Financial Officer its principal financial officer by others within those entities, particularly during the Company and periods in which the Adviserperiodic reports required under the Exchange Act are being prepared, and such disclosure controls and procedures (ii) are effective in all material respects to perform the functions for which they were established.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Summus Inc Usa), Securities Purchase Agreement (Summus Inc)
Disclosure Controls. The Company has established and maintains “disclosure controls and procedures procedures” (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer of the Company. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Placement Agency Agreement (Aradigm Corp), Placement Agency Agreement (Aradigm Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Beyond Meat, Inc.), Equity Distribution Agreement (Beyond Meat, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures ) that are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedCompany.
Appears in 2 contracts
Samples: Underwriting Agreement (Stellus Capital Investment Corp), Underwriting Agreement (Stellus Capital Investment Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (CareDx, Inc.), Underwriting Agreement (CareDx, Inc.)
Disclosure Controls. The Company has established and maintains each of its subsidiaries maintain disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); such disclosure controls and procedures are ) designed to ensure that material the information relating required to be disclosed by the Company in the reports that it files or submits under the Exchange Act is accumulated and communicated to management of the Company, including material information pertaining its principal executive officer and principal financial officer, as appropriate, to the Company’s operations and assets managed by the Adviser, is made known allow timely decisions regarding required disclosure to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviserbe made, and such disclosure controls and procedures are effective in all material respects to perform the functions for which they were established.
Appears in 2 contracts
Samples: Equity Distribution Agreement (USWS Holdings LLC), Equity Distribution Agreement (U.S. Well Services, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and the General Disclosure Package.
Appears in 2 contracts
Samples: Underwriting Agreement (CAI International, Inc.), Underwriting Agreement (CAI International, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, ) and such disclosure controls and procedures are effective and designed to perform ensure that information relating to the functions for which they were establishedCompany and its subsidiaries is accumulated and communicated to the Company’s principal executive officer and principal financial officer by others within those entities.
Appears in 2 contracts
Samples: Underwriting Agreement (SiriusPoint LTD), Underwriting Agreement (SiriusPoint LTD)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the AdviserSubsidiary, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the SEC Reports.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Heron Therapeutics, Inc. /De/), Securities Purchase Agreement (Heron Therapeutics, Inc. /De/)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its Subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective in all material respects to perform the functions for which they were established.
Appears in 2 contracts
Samples: Share Purchase Agreement (Nebius Group N.V.), Common Shares Purchase Agreement (LandBridge Co LLC)
Disclosure Controls. The Company has established and maintains effective disclosure controls and procedures (as such term is defined in under Rule 13a-15 and 15d-15 under the rules and regulations of the Exchange Act); such disclosure controls and procedures , (i) which are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits consolidated subsidiaries, is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer its principal financial officer by others within those entities, particularly during the Company and periods in which the Adviserperiodic reports required under the Exchange Act are being prepared, and such disclosure controls and procedures (ii) are effective in all material respects to perform the functions for which they were established.
Appears in 2 contracts
Samples: Sales Agreement (Turning Point Brands, Inc.), Sales Agreement (Turning Point Brands, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 2 contracts
Samples: Purchase Agreement (Invuity, Inc.), Purchase Agreement (Invuity, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and its Chief Financial Officer by others within the Company and the AdviserOfficer, and such disclosure controls and procedures are effective to perform the functions for which they were established; to the Company’s knowledge, any significant material weaknesses in internal controls have been identified for the Company’s Chief Executive Officer and its Chief Financial Officer.
Appears in 2 contracts
Samples: Purchase Agreement (Cohen & Steers Inc), Purchase Agreement (Cohen & Steers Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining Company and its subsidiaries is accumulated and communicated to the Company’s operations principal executive officer and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedthose entities.
Appears in 2 contracts
Samples: Underwriting Agreement (Third Point Reinsurance Ltd.), Underwriting Agreement (Third Point Reinsurance Ltd.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and the ADS Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Moko Social Media LTD), Purchase Agreement (Moko Social Media LTD)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the AdviserSubsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and the Prospectus.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Biora Therapeutics, Inc.), At Market Issuance Sales Agreement (Progenity, Inc.)
Disclosure Controls. The To the extent required under applicable rules, the Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 2 contracts
Samples: Purchase Agreement (CareDx, Inc.), Purchase Agreement (CareDx, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and in the Prospectus.
Appears in 2 contracts
Samples: Equity Sales Agreement (Pfenex Inc.), Equity Sales Agreement (Pfenex Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the AdviserAdvisor, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the AdviserAdvisor, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 2 contracts
Samples: Underwriting Agreement (TICC Capital Corp.), Equity Distribution Agreement (TICC Capital Corp.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement and in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (Research Frontiers Inc), Purchase Agreement (Research Frontiers Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed, and are designed effective, to ensure that material information relating to the Company, including material information pertaining to its subsidiaries and the Company’s operations and assets managed by the Adviser, Joint Ventures is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedthose entities.
Appears in 2 contracts
Samples: Underwriting Agreement (Howard Hughes Corp), Underwriting Agreement (Howard Hughes Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); such Act designed to comply with the requirements of the Exchange Act applicable to the Company. Such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedCompany.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Fulcrum Therapeutics, Inc.), Equity Distribution Agreement (Fulcrum Therapeutics, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Principal Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 2 contracts
Samples: Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.), Underwriting Agreement (Poliwogg Regenerative Medicine Fund, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-15(e) and 15d-15 15d-15(e) under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Limoneira CO), Purchase Agreement (LDR Holding Corp)
Disclosure Controls. The Company has established and maintains “disclosure controls and procedures procedures” (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statements, in the General Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Microvision Inc), Underwriting Agreement (Microvision Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, the Time of Sale Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Invuity, Inc.), Purchase Agreement (Invuity, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statements, in the Time of Sale Disclosure Package and in the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Jerash Holdings (US), Inc.), Underwriting Agreement (Itamar Medical Ltd.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures ) which are designed to ensure provide reasonable assurance that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Company SEC Documents.
Appears in 2 contracts
Samples: Unit Purchase Agreement (Vertex Energy Inc.), Unit Purchase Agreement (Vertex Energy Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Exchange Act)) designed to comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been reasonably designed to ensure that material information relating required to be disclosed by the Company, including material information pertaining Company is accumulated and communicated to the Company’s operations and assets managed by the Advisermanagement, is made known to including the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 2 contracts
Samples: Open Market Sale Agreement (Sutro Biopharma, Inc.), Open Market Sale Agreement (Sutro Biopharma, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 2 contracts
Samples: Underwriting Agreement (PLBY Group, Inc.), Underwriting Agreement (PLBY Group, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Time of Sale Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Purchase Agreement (S1 Biopharma, Inc.), Purchase Agreement (S1 Biopharma, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the SEC Filings.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Beyond Air, Inc.), Common Stock Purchase Agreement (Beyond Air, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule Rules 13a-15 and 15d-15 under the Exchange 1934 Act); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were established.
Appears in 2 contracts
Samples: Underwriting Agreement (Alcentra Capital Corp), Underwriting Agreement (Alcentra Capital Corp)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures , that are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits Subsidiaries, is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer its principal financial officer by others within the Company and the Adviser, those entities and such disclosure controls and procedures are effective in all material respects to perform the functions for which they were establishedestablished except as disclosed in the Disclosure Package.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Dakota Gold Corp.), Equity Distribution Agreement (Dakota Gold Corp.)
Disclosure Controls. The Company has established developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act Regulations) that comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 2 contracts
Samples: Underwriting Agreement (Jaguar Animal Health, Inc.), Underwriting Agreement (Jaguar Animal Health, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 2 contracts
Samples: Underwriting Agreement (First Solar, Inc.), Underwriting Agreement (First Solar, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, those entities; and such disclosure controls and procedures are effective in all material respects to perform the functions for which they were established.
Appears in 1 contract
Samples: International Underwriting and Placement Facilitation Agreement (CPFL Energy INC)
Disclosure Controls. The Company has established and maintains designed a system of disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) that comply with the requirements of the Exchange Act applicable to the Company and such disclosure controls and procedures are designed to ensure effective at the reasonable assurance level in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiary, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 1 contract
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Registration Statement, in the General Disclosure Package and in the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Netlist Inc)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under the Exchange Act); such disclosure controls and procedures , which: (i) are designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer its principal financial officer by others within the Company and Company; (ii) provide for the Adviser, and periodic evaluation of the effectiveness of such disclosure controls and procedures at the end of the periods in which the periodic reports are required to be prepared; and (iii) are effective in all material respects to perform the functions for which they were established.
Appears in 1 contract
Samples: Stock and Warrant Purchase Agreement (Biocryst Pharmaceuticals Inc)
Disclosure Controls. The Company has established and maintains designed a system of disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) to comply with the requirements of the Exchange Act within the time period required; and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations Company and assets managed by the Adviser, its subsidiaries is made known to the Company’s Chief Executive Officer 's principal executive officer and Chief Financial Officer principal financial officer by others within those entities; and except as described in the Company Pricing Disclosure Package and the AdviserProspectus, and such disclosure controls and procedures are effective to perform the functions for which they were established.effective;
Appears in 1 contract
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Exchange Act); ) and such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and principal financial officer. The Company has utilized such disclosure controls and procedures are effective to perform in preparing and evaluating the functions for which they were establisheddisclosures in the Time of Sale Disclosure Package and in the Offering Memorandum.
Appears in 1 contract
Samples: Purchase Agreement (Cinedigm Corp.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under of the Exchange Act Rules) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been designed to ensure that information required to be disclosed by the Company is accumulated and communicated to the Company’s management, including the Company’s principal executive officer and principal financial officer by others within those entities; such disclosure controls and procedures are designed to ensure that effective in all material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective respects to perform the functions for which they were established.
Appears in 1 contract
Samples: Underwriting Agreement (First Choice Healthcare Solutions, Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 under 13a-15(e) of the Exchange Act Rules) that comply with the requirements of the Exchange Act); such disclosure controls and procedures are have been reasonably designed to ensure that material information relating required to be disclosed by the Company, including material information pertaining Company is accumulated and communicated to the Company’s operations and assets managed by the Advisermanagement, is made known to including the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company and the Adviserprincipal executive officer, and such disclosure controls and procedures are will be effective to perform immediately following the functions for which they were establishedcompletion of the offering.
Appears in 1 contract
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act); such disclosure controls and procedures are ) that have been designed to ensure that material information relating to the Company, including material information pertaining Company and the Subsidiaries is disclosed to the Company’s operations principal executive officer and assets managed by the Adviser, is made known to the Company’s Chief Executive Officer and Chief Financial Officer principal financial officer by others within the Company and the Adviserthose entities and, and as of December 31, 2012, such disclosure controls and procedures are effective to perform the functions for which they were establishedeffective.
Appears in 1 contract
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 Rules 13a-14 and 15d-15 15d-14 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”); ) and, except as disclosed in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus, such disclosure controls and procedures are designed to ensure effective in ensuring that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviserits subsidiaries, is made known to the Company’s Chief Executive Officer and Chief Financial Officer by others within the Company principal executive officer and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedprincipal financial officer.
Appears in 1 contract
Samples: Purchase Agreement (Ener-Core Inc.)
Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15 and 15d-15 13a-15(e) under the Exchange Act)) that comply with the applicable requirements of the Exchange Act; and such disclosure controls and procedures are have been designed to ensure that material information relating to the Company, including material information pertaining to the Company’s operations and assets managed by the Adviser, Company is made known to the Company’s Chief Executive Officer principal executive officer and Chief Financial Officer principal financial officer by others within the Company and the Adviser, and such disclosure controls and procedures are effective to perform the functions for which they were establishedCompany.
Appears in 1 contract