Common use of Disclosure Controls Clause in Contracts

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effective.

Appears in 23 contracts

Samples: Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp), Underwriting Agreement (Fifth Third Bancorp)

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Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange ActAct and Canadian Securities Laws) that comply with the requirements of the Exchange ActAct and Canadian Securities Laws; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities and entities; such disclosure controls and procedures are effective.

Appears in 18 contracts

Samples: Equity Distribution Agreement (First Majestic Silver Corp), Equity Distribution Agreement (First Majestic Silver Corp), Securities Purchase Agreement (VIQ Solutions Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

Appears in 17 contracts

Samples: Securities Purchase Agreement (Avinger Inc), Securities Purchase Agreement (T2 Biosystems, Inc.), Securities Purchase Agreement (Avinger Inc)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 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 have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

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(e) under the Exchange Act) that comply with the applicable requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such the Company. The Company has carried out evaluations of the effectiveness of its disclosure controls and procedures are effectiveas required by Rule 13a-15 of the Exchange 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and designed such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-14 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities and entities; and, except as disclosed in the General Disclosure Package, such disclosure controls and procedures are effective.

Appears in 9 contracts

Samples: Sales Agency Financing Agreement, Boston Properties LTD Partnership, Sales Agency Financing Agreement (Boston Properties Inc)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been ), which are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer Chief Financial Officer by others within those entities and such disclosure controls and procedures are effectiveeffective 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(e) 13a-15 under the Exchange Act) that comply with ). Except as disclosed in the requirements Registration Statement and the Prospectus, to the knowledge of the Exchange Act; Company, such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to are effective in timely alerting the Company’s principal executive officer and principal financial officer to information required to be disclosed by others within those entities and such disclosure controls and procedures are effectivethe Company 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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 its subsidiaries, on a consolidated basis, maintain disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities to allow timely decisions regarding required disclosure; and such disclosure controls and procedures are effective.

Appears in 6 contracts

Samples: Underwriting Agreement (Laureate Education, Inc.), Underwriting Agreement (Laureate Education, Inc.), Underwriting Agreement (Wengen Alberta, LP)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with and, except as disclosed in the requirements Registration Statement, in the Time of Sale Disclosure Package and in the Exchange Act; Prospectus, such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 (as such term is defined in Rule 13a-15(e) under the Exchange ActAct and Canadian Securities Laws) that comply with the requirements of the Exchange ActAct and Canadian Securities Laws; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s 's principal executive officer and principal financial officer by others within those entities and entities; such disclosure controls and procedures are effective.

Appears in 6 contracts

Samples: Terms Agreement (FSD Pharma Inc.), Equity Distribution Agreement (Integra Resources Corp.), Securities Purchase Agreement (FSD Pharma Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under of the Exchange ActAct Rules) that designed to comply with the requirements of the Exchange Act; such disclosure controls and procedures have been reasonably designed to ensure that material information relating required to be disclosed by the Company is accumulated and communicated to the Company’s management, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement and in the Prospectus.

Appears in 5 contracts

Samples: Sales Agreement (Beyond Air, Inc.), Sales Agreement (Marker Therapeutics, Inc.), Sales Agreement (Beyond Air, Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-14 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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 disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesthe Subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) under of the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial executive officer by others within those entities entities; and such disclosure controls and procedures are effective.;

Appears in 4 contracts

Samples: Purchase Agreement (Hornbeck Offshore Services Inc /La), Purchase Agreement (Hornbeck Offshore Services Inc /La), 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; , such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities, and such disclosure controls and procedures are effective.

Appears in 4 contracts

Samples: Exelon Corp, Underwriting Agreement (Exelon Corp), Exelon Corp

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiariesmaterial information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer Chief Financial Officer by others within those entities the Company and the Adviser, and such disclosure controls and procedures are effectiveeffective to perform the functions for which they were established.

Appears in 4 contracts

Samples: Gladstone Investment Corporation\de, Prospect Energy Corp, Prospect Energy Corp

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under of the Securities Exchange Act of 1934 (the “Exchange Act”)) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been which are designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such entities. Such disclosure controls and procedures are 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 4 contracts

Samples: Purchase Agreement (Palo Alto Networks Inc), Palo Alto Networks Inc, www.sec.gov

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange ActAct as applicable to the Company; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 4 contracts

Samples: Sales Agreement (Unity Biotechnology, Inc.), Common Stock (Unity Biotechnology, Inc.), Unity Biotechnology, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities the Company; and such disclosure controls and procedures are effectiveeffective in 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, Subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 4 contracts

Samples: Common Stock (Atara Biotherapeutics, Inc.), Vitamin Shoppe, Inc., Vitamin Shoppe, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Company SEC Documents.

Appears in 4 contracts

Samples: Secured Convertible Note Purchase (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(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 and evaluates “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; ), such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer its Chief Financial Officer by others within those entities entities, and such disclosure controls and procedures are effectiveeffective 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 and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange ActAct applicable to the Company; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 4 contracts

Samples: Terms Agreement (Denali Therapeutics Inc.), Terms Agreement (Denali Therapeutics Inc.), Twilio Inc

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) 13a-15 under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating required to be disclosed by the CompanyCompany with respect to itself and its subsidiaries in the reports it files or submits under the Exchange Act is recorded, including its consolidated subsidiariesprocessed, is made known to summarized and reported, within the Companytime periods specified in the SEC’s principal executive officer rules and principal financial officer by others within those entities and forms. The Company has utilized such disclosure controls and procedures are effective.in preparing and evaluating the disclosures in the Company SEC Documents

Appears in 4 contracts

Samples: Agreement and Plan of Merger and Reorganization (Aevi Genomic Medicine, Inc.), Agreement and Plan of Merger and Reorganization (Cerecor Inc.), Agreement and Plan of Merger and Reorganization (Cerecor Inc.)

Disclosure Controls. The Company has established developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange ActAct Regulations) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and, except as set forth in the Registration Statement, the Pricing Disclosure Package and the Prospectus, such disclosure controls and procedures are effective.

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(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 procedures” (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure provide reasonable assurance that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 3 contracts

Samples: Underwriting Agreement (Delta Air Lines, Inc.), Delta Air Lines Inc /De/, 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesthe Subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein 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 (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 Rules 13a-15(e) and 15d-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-14 and 15d-14 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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.), ir.motusgi.com

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement and in the Prospectus.

Appears in 3 contracts

Samples: Phunware, Inc., Sales Agreement (Spring Bank Pharmaceuticals, Inc.), Phunware, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariessubsidiary, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.

Appears in 3 contracts

Samples: Registration Rights 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(e) 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; such ). Such disclosure controls and procedures have been are designed to ensure provide reasonable assurance that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, that is made known required to be disclosed by the Company in the reports that it furnishes or files under the Exchange Act is reported within the time periods specified in the rules and forms of the SEC and that such material information is communicated to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectivemanagement to allow timely decisions regarding required disclosure.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Marketaxess Holdings Inc), Securities Purchase Agreement (TCV Vi L P), Securities Purchase Agreement (Thestreet Com)

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 Rules 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 to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

Appears in 3 contracts

Samples: Purchase Agreement (Habit Restaurants, Inc.), Purchase Agreement (Habit Restaurants, Inc.), Form of 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveeffective 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 13a-15(e) under 13a-15 of the Exchange ActAct Rules) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating required to be disclosed by the Company is accumulated and communicated to the Company’s management, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and entities, such disclosure controls and procedures are effective.

Appears in 3 contracts

Samples: Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.), Purchase Agreement (CymaBay Therapeutics, Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; ), and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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), EnerJex Resources, Inc., EnerJex Resources, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been ), which are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer Chief Financial Officer by others within those entities entities, and such disclosure controls and procedures are effectiveeffective 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 (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 its subsidiaries maintain an effective system of “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) under of the Securities Exchange Act of 1934, as amended, the “Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known accumulated and communicated to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

Appears in 3 contracts

Samples: Acushnet Holdings Corp., Blue Buffalo Pet Products, Inc., Blue Buffalo Pet Products, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) under of the Exchange Act) that comply with the applicable requirements of the Exchange Act; such disclosure controls Act and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal chief executive officer and principal chief financial officer by others within those entities the Company or any of its subsidiaries; and such disclosure controls and procedures are effectivereasonably effective to perform the functions for which they were established subject to the limitations of any control system.

Appears in 3 contracts

Samples: La Quinta Holdings Inc., La Quinta Holdings Inc., 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(e) under the Exchange Act) that Act designed to comply with the requirements of the Exchange Act; such Act applicable to the Company. Such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectivethe Company.

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 procedures” (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and of the Company. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.

Appears in 2 contracts

Samples: Agency Agreement (Aradigm Corp), Agency Agreement (Aradigm Corp)

Disclosure Controls. The Company has established and maintains its subsidiaries maintain an effective system of “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) under of the Exchange Act) that comply complies with the requirements of the Exchange Act; such disclosure controls Act and procedures have that has been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveentities.

Appears in 2 contracts

Samples: Brazilian Underwriting Agreement (Azul Sa), Azul Sa

Disclosure Controls. The Company has established and maintains disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 13a-15(e) 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange 1934 Act; such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer by others within those entities its Chief Financial Officer, and such disclosure controls and procedures are effectiveeffective 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(e) Rules 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiariesmaterial information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer Chief Financial Officer by others within those entities the Company and the Adviser, and such disclosure controls and procedures are effectiveeffective 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 effective disclosure controls and procedures (as such term is defined in under Rule 13a-15(e) 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements rules and regulations of the Exchange Act; such disclosure controls and procedures have been ), (i) which are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities entities, particularly during the periods in which the periodic reports required under the Exchange Act are being prepared, and such disclosure controls and procedures (ii) are effectiveeffective in all material respects to perform the functions for which they were established.

Appears in 2 contracts

Samples: Common Stock (Turning Point Brands, Inc.), Sales Agreement (Turning Point Brands, Inc.)

Disclosure Controls. The Company has established developed and currently maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange ActAct Regulations) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 2 contracts

Samples: Form of Underwriting Agreement (Jaguar Animal Health, Inc.), Form of 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesthe Subsidiary, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the SEC Reports.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Heron Therapeutics, Inc. /De/), Securities Purchase Agreement (Heron Therapeutics, Inc. /De/)

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Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; , such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities, and such disclosure controls and procedures are effective.. (q)

Appears in 2 contracts

Samples: Underwriting Agreement (Exelon Corp), Exelon Corp

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiariesmaterial information pertaining to the Company’s operations and assets managed by the Adviser, is made known to the Company’s principal executive officer and principal financial officer Principal Financial Officer by others within those entities the Company and the Adviser, and such disclosure controls and procedures are effectiveeffective 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been are effective and designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known accumulated and communicated to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveentities.

Appears in 2 contracts

Samples: Underwriting Agreement (SiriusPoint LTD), Underwriting Agreement (SiriusPoint LTD)

Disclosure Controls. The Company has established and maintains its subsidiaries taken as a whole maintain an effective system of “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) under of the Exchange Act) that comply complies with the requirements of the Exchange Act; such disclosure controls Act applicable to the Company and procedures have that has been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer its subsidiaries’ management by others within those entities the Company and such disclosure controls and procedures are effectiveits subsidiaries.

Appears in 2 contracts

Samples: StandardAero, Inc., StandardAero, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 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 to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement and in the Prospectus.

Appears in 2 contracts

Samples: Pfenex Inc., Pfenex Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 2 contracts

Samples: Underwriting Agreement (First Solar, Inc.), First Solar, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiariesthe Subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement and the Prospectus.

Appears in 2 contracts

Samples: Distribution Agreement (Biora Therapeutics, Inc.), Progenity, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the applicable requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.

Appears in 2 contracts

Samples: 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(e) 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiariesmaterial information pertaining to the Company’s operations and assets managed by the Advisor, is made known to the Company’s principal executive officer and principal financial officer Chief Financial Officer by others within those entities the Company and the Advisor, and such disclosure controls and procedures are effectiveeffective 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effective).

Appears in 2 contracts

Samples: Purchase Agreement (Particle Drilling Technologies Inc/Nv), Purchase Agreement (Particle Drilling Technologies Inc/Nv)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effectiveeffective 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 Rules 13a-15(e) and 15d-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 (as such term is defined in Rule 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 designed, and are effective, to ensure that material information relating to the Company, including its consolidated subsidiaries, subsidiaries and the Joint Ventures is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveentities.

Appears in 2 contracts

Samples: Howard Hughes Corp, Howard Hughes Corp

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 each of its subsidiaries maintain disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under of the Exchange 1934 Act) that comply with the requirements of the Exchange Act; such disclosure controls 1934 Act and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and such disclosure controls and procedures are effective.;

Appears in 2 contracts

Samples: Underwriting Agreement (Nuvasive Inc), Underwriting Agreement (Nuvasive Inc)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange 1934 Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer Chief Executive Officer and principal financial officer Chief Financial Officer by others within those entities and such disclosure controls and procedures are effectivethe Company.

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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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(e) under of the Exchange Act) that designed to comply with the requirements of the Exchange Act; such disclosure controls and procedures have been reasonably designed to ensure that material information relating required to be disclosed by the Company is accumulated and communicated to the Company’s management, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

Appears in 2 contracts

Samples: Sutro Biopharma, Inc., Sutro Biopharma, Inc.

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-15 and 15d-15 under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been which are designed to ensure provide reasonable assurance that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and such disclosure controls and procedures are effectiveofficer.

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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 13a-15(e) 13a-15 under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been which (i) are designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s 's principal executive officer and its principal financial officer by others within those entities entities, particularly during the periods in which the periodic reports required under the Exchange Act are being prepared, and such disclosure controls and procedures (ii) are effectiveeffective 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 its subsidiaries maintain “disclosure controls and procedures procedures” (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act); such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effective.

Appears in 2 contracts

Samples: Sales Agreement (Dermira, Inc.), Sales Agreement (Dermira, Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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 each of its subsidiaries maintain disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been 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 its consolidated subsidiaries, is made known to the Company’s principal executive officer and principal financial officer by others within those entities officer, as appropriate, to allow timely decisions regarding required disclosure to be made, and such disclosure controls and procedures are effectiveeffective 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known accumulated and communicated to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectiveentities.

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(e) under the Exchange Act) that comply with the applicable requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities and such disclosure controls and procedures are effectivethe Company.

Appears in 1 contract

Samples: Underwriting Agreement (Regulus Therapeutics Inc.)

Disclosure Controls. (i) The Company has established and maintains its subsidiaries maintain disclosure controls and procedures (as such term is defined in Rule 13a-15(e) under the Exchange Act) that comply with the requirements of the Exchange Act; (ii) such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and principal financial officer by others within those entities entities; and (iii) such disclosure controls and procedures are effective.

Appears in 1 contract

Samples: Terms Agreement (Arcus Biosciences, Inc.)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) 13a-15 and 15d-15 under the Exchange Act) ), that comply with the requirements of the Exchange Act; such disclosure controls and procedures have been are designed to ensure that material information relating to the Company, including its consolidated subsidiariesSubsidiaries, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities and such disclosure controls and procedures are effectiveeffective in all material respects to perform the functions for which they were established except as disclosed in the Disclosure Package.

Appears in 1 contract

Samples: Equity Distribution Agreement (Dakota Gold Corp.)

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(e) under the Exchange Act) that to comply with the requirements of the Exchange ActAct within the time period required; and such disclosure controls and procedures have been designed to ensure that material information relating to the Company, including Company and its consolidated subsidiaries, subsidiaries is made known to the Company’s 's principal executive officer and principal financial officer by others within those entities entities; and except as described in the Pricing Disclosure Package and the Prospectus, such disclosure controls and procedures are effective.;

Appears in 1 contract

Samples: Underwriting Agreement (IHS Holding LTD)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures 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(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in providing reasonable assurance that material information relating to the Company, including its consolidated subsidiaries, is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement, in the Time of Sale Disclosure Package and in the Prospectus.

Appears in 1 contract

Samples: Purchase Agreement (Endologix Inc /De/)

Disclosure Controls. The Company has established and maintains disclosure controls and procedures (as such term is defined in Rule 13a-15(e) Rules 13a-14 and 15d-14 under the Exchange Act) that comply with the requirements of the Exchange Act; and such disclosure controls and procedures have been designed to ensure are effective in ensuring that material information relating to the Company, including its consolidated subsidiaries, Company is made known to the Company’s principal executive officer and the principal financial officer by others within those entities and officer. The Company has utilized such disclosure controls and procedures are effectivein preparing and evaluating the disclosures in the Registration Statement and in the Prospectus.

Appears in 1 contract

Samples: Sales Agreement (CONTRAFECT Corp)

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