Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.
Appears in 45 contracts
Samples: Debt Exchange Agreement (La Rosa Holdings Corp.), Series a 1 Convertible Preferred Stock Purchase Agreement (K Wave Media Ltd.), Series a 1 Convertible Preferred Stock Purchase Agreement (K Wave Media Ltd.)
Executive Officers. To the knowledge of the Company, no No executive officer or person nominated to become an executive officer of the Company (ai) to the Company’s Knowledge, has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (bii) is or has been subject to any judgment or order of, or is the subject of any pending civil or administrative action by the Securities and Exchange Commission or any related self-regulatory organization.
Appears in 7 contracts
Samples: Series F Preferred Stock Purchase Agreement (LendingClub Corp), Series E Preferred Stock Purchase Agreement (LendingClub Corp), Series D Preferred Stock Purchase Agreement (LendingClub Corp)
Executive Officers. To the knowledge of the Company’s knowledge, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.
Appears in 2 contracts
Samples: License and Sublicense Agreement (ARCA Biopharma, Inc.), Note and Warrant Purchase Agreement (ARCA Biopharma, Inc.)
Executive Officers. To the knowledge of the CompanyPurchaser, no executive officer or person nominated to become an executive officer of the Company Purchaser (ai) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (bii) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission SEC or any self-regulatory organization.
Appears in 1 contract
Samples: Asset Purchase Agreement (Esim LTD)
Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) ), or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.
Appears in 1 contract
Samples: Series B Preferred Stock Purchase Agreement (Nocimed, Inc.)
Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (ai) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (bii) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.
Appears in 1 contract
Samples: Series C Preferred Stock Purchase Agreement (Blue Earth, Inc.)
Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.or
Appears in 1 contract
Samples: Common Stock Purchase Agreement
Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (ai) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (bii) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission SEC or any self-regulatory organization.
Appears in 1 contract
Samples: Preferred Stock Exchange Agreement (Dolphin Digital Media Inc)
Executive Officers. To the knowledge of the Company, no executive officer or person nominated to become an executive officer of the Company (a) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (b) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission (the “Commission”) or any self-regulatory organization.
Appears in 1 contract
Samples: Restricted Stock and Warrant Purchase Agreement (Net TALK.COM, Inc.)
Executive Officers. To the knowledge of the Company, no No executive officer or person nominated to become an executive officer of the Company (ai) has been convicted in a criminal proceeding or is a named subject of a pending criminal proceeding (excluding minor traffic violations) or (bii) is or has been subject to any judgment or order of, the subject of any pending civil or administrative action by the Securities and Exchange Commission or any self-regulatory organization.
Appears in 1 contract
Samples: Series Seed Convertible Preferred Stock Purchase Agreement (Digital Turbine, Inc.)
