FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 202 contracts
Samples: Underwriting Agreement (Empro Group Inc.), Underwriting Agreement (Epsium Enterprise LTD), Underwriting Agreement (Epsium Enterprise LTD)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 141 contracts
Samples: Underwriting Agreement (Red Cat Holdings, Inc.), Underwriting Agreement (Alliance Entertainment Holding Corp), Underwriting Agreement (Unusual Machines, Inc.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 47 contracts
Samples: Underwriting Agreement (KULR Technology Group, Inc.), Underwriting Agreement (Permex Petroleum Corp), Underwriting Agreement (Azitra Inc)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 42 contracts
Samples: Underwriting Agreement (Venu Holding Corp), Underwriting Agreement (MaxsMaking Inc.), Underwriting Agreement (Venu Holding Corp)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were who acquired any equity securities of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 40 contracts
Samples: Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Aureus Greenway Holdings Inc), Underwriting Agreement (AgiiPlus Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 39 contracts
Samples: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 29 contracts
Samples: Placement Agency Agreement (Glucotrack, Inc.), Placement Agency Agreement (Glucotrack, Inc.), Placement Agency Agreement (Glucotrack, Inc.)
FINRA Affiliation. There To the Company’s knowledge, and except as may otherwise be disclosed in FINRA questionnaires provided to the Representative’s Counsel, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)Participating Member.
Appears in 28 contracts
Samples: Underwriting Agreement (GATES GROUP Inc.), Underwriting Agreement (rYojbaba Co., Ltd.), Underwriting Agreement (Metros Development Co., Ltd.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 26 contracts
Samples: Underwriting Agreement (KULR Technology Group, Inc.), Underwriting Agreement (Snow Lake Resources Ltd.), Underwriting Agreement (Virios Therapeutics, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities, who acquired any equity securities which were acquired of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 23 contracts
Samples: Underwriting Agreement (Diginex LTD), Underwriting Agreement (Diginex LTD), Underwriting Agreement (ZJK Industrial Co., Ltd.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 22 contracts
Samples: Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (Addentax Group Corp.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, any beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 17 contracts
Samples: Underwriting Agreement (Sacks Parente Golf, Inc.), Underwriting Agreement (BTC Digital Ltd.), Underwriting Agreement (Sacks Parente Golf, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, any beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, any beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 15 contracts
Samples: Underwriting Agreement (Nuvve Holding Corp.), Underwriting Agreement (Bynd Cannasoft Enterprises Inc.), Underwriting Agreement (GlucoTrack, Inc.)
FINRA Affiliation. There Except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 14 contracts
Samples: Underwriting Agreement (Diamir Biosciences Corp.), Underwriting Agreement (Rectitude Holdings Ltd.), Underwriting Agreement (Rectitude Holdings Ltd.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 11 contracts
Samples: Underwriting Agreement (Azitra, Inc.), Underwriting Agreement (Luxurban Hotels Inc.), Underwriting Agreement (Datasea Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 10 contracts
Samples: Underwriting Agreement (Arch Therapeutics, Inc.), Underwriting Agreement (Arch Therapeutics, Inc.), Underwriting Agreement (HeartBeam, Inc.)
FINRA Affiliation. There Except as disclosed in their FINRA confirmations, to the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 9 contracts
Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (PDS Biotechnology Corp), Underwriting Agreement (Heat Biologics, Inc.)
FINRA Affiliation. There is no (i) No officer or director of the Company, and to the knowledge of the Company (ii) no beneficial owner of 5% or more of any class of the Company’s securities or and (iii) no beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that Statement, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 9 contracts
Samples: Underwriting Agreement (Ming Shing Group Holdings LTD), Underwriting Agreement (Callan JMB Inc.), Underwriting Agreement (Ming Shing Group Holdings LTD)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 8 contracts
Samples: Underwriting Agreement (cbdMD, Inc.), Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 8 contracts
Samples: Underwriting Agreement (Sonnet BioTherapeutics Holdings, Inc.), Underwriting Agreement (Sonnet BioTherapeutics Holdings, Inc.), Placement Agency Agreement (Primech Holdings LTD)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were who acquired any equity securities of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 8 contracts
Samples: Underwriting Agreement (FGI Industries Ltd.), Underwriting Agreement (Presidio Property Trust, Inc.), Underwriting Agreement (Presidio Property Trust, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Offering Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Placement Agency Agreement (Campagna Motors USA Inc.), Selling Agency Agreement (Level Brands, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)
FINRA Affiliation. There is no (iA) officer or director of the Company, (iiB) beneficial owner of 5% or more of any class of the Company’s securities or (iiiC) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case and to the best of the Company’s knowledge, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Underwriting Agreement (Polyrizon Ltd.), Underwriting Agreement (Polyrizon Ltd.), Underwriting Agreement (Polyrizon Ltd.)
FINRA Affiliation. There is no (iA) officer or director of the Company, (iiB) to the Company’s knowledge, the beneficial owner of 5% or more of any class of the Company’s securities or (iiiC) to the Company’s knowledge, the beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Underwriting Agreement (Harden Technologies Inc.), Underwriting Agreement (Harden Technologies Inc.), Underwriting Agreement (YY Group Holding Ltd.)
FINRA Affiliation. There Except as set forth in the General Disclosure Package, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
FINRA Affiliation. There Other than as disclosed to the Representative in writing, there is no no: (ix) officer or director of the Company, (iiy) beneficial owner of 5% or more of any class of the Company’s securities or (iiiz) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (xG TECHNOLOGY, INC.)
FINRA Affiliation. There is no (i) No officer or director of the Company, and to the knowledge of the Company (ii) no beneficial owner of 5% or more of any class of the Company’s securities or and (iii) no beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 7 contracts
Samples: Underwriting Agreement (Vocodia Holdings Corp), Underwriting Agreement (Vocodia Holdings Corp), Underwriting Agreement (Vocodia Holdings Corp)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Samples: Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (Data443 Risk Mitigation, Inc.)
FINRA Affiliation. There is no (iA) officer or director of the Company, (iiB) to the Company’s knowledge, the beneficial owner of 510% or more of any class of the Company’s securities or (iiiC) to the Company’s knowledge, the beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Samples: Underwriting Agreement (YSX Tech Co., LTD), Underwriting Agreement (YSX Tech Co., LTD), Underwriting Agreement (Tungray Technologies Inc)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Samples: Placement Agency Agreement (Xiao-I Corp), Placement Agency Agreement (China Natural Resources Inc), Placement Agency Agreement (Senmiao Technology LTD)
FINRA Affiliation. There is no (iA) officer or director of the Company, (iiB) beneficial owner of 5% or more of any class of the Company’s 's securities or (iiiC) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case and to the best of the Company’s knowledge, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 6 contracts
Samples: Underwriting Agreement (Jerrick Media Holdings, Inc.), Underwriting Agreement (Electrameccanica Vehicles Corp.), Underwriting Agreement (Electrameccanica Vehicles Corp.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities, who acquired any equity securities which were acquired of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (Neuraxis, INC), Underwriting Agreement (Neuraxis, INC), Underwriting Agreement (Neuraxis, INC)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.)
FINRA Affiliation. There is no (ix) officer or director of the Company, (iiy) to the Company’s knowledge, the beneficial owner of 5% or more of any class of the Company’s securities or (iiiz) to the Company’s knowledge, the beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (HiTek Global Inc.), Underwriting Agreement (BioNexus Gene Lab Corp), Underwriting Agreement (BioNexus Gene Lab Corp)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of date that the Registration Statement was initially filed with the Commission that is an affiliate or associated person Person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.), Underwriting Agreement (Wetouch Technology Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (Sigma Labs, Inc.), Underwriting Agreement (Skyline Medical Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the knowledge of the Company, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (Oasmia Pharmaceutical AB), Underwriting Agreement (Oasmia Pharmaceutical AB), Underwriting Agreement (Oasmia Pharmaceutical AB)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 5 contracts
Samples: Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (HUI YING FINANCIAL HOLDINGS Corp)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities, who acquired any equity securities which were acquired of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings Ltd.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% ten percent (10%) or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day one hundred eighty (180)-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.)
FINRA Affiliation. There To the knowledge of the Company, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of five percent (5% %) or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the one hundred eighty (180-) day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (Lirum Therapeutics, Inc.), Underwriting Agreement (Lirum Therapeutics, Inc.), Underwriting Agreement (Lirum Therapeutics, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing submission of the confidential Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Placement Agency Agreement (Lucas GC LTD), Placement Agency Agreement (ICZOOM Group Inc.), Placement Agency Agreement (Global Mofy Metaverse LTD)
FINRA Affiliation. There Except as disclosed in their FINRA confirmations, there is no (i) officer or director of the Company, or, to the Company’s knowledge, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing submission of the confidential Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 4 contracts
Samples: Placement Agency Agreement (Cheetah Net Supply Chain Service Inc.), Placement Agency Agreement (Cheetah Net Supply Chain Service Inc.), Placement Agency Agreement (Global Mofy Metaverse LTD)
FINRA Affiliation. There is no no, to the Company’s knowledge, (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp), Underwriting Agreement (CW Petroleum Corp)
FINRA Affiliation. There Except as disclosed in their FINRA confirmations, to the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Intellipharmaceutics International Inc.), Underwriting Agreement (Intellipharmaceutics International Inc.), Underwriting Agreement (Heat Biologics, Inc.)
FINRA Affiliation. There To its knowledge, there is no (i) officer or director member of the Companymanagement board or supervisory board of the Company (other than Jxxx Xxxxx), (ii) beneficial owner of 5% or more of any class of the Company’s equity securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the initial filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG)
FINRA Affiliation. There To the Company's knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement (Aduro Clean Technologies Inc.), Underwriting Agreement (NeoStem, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of at least 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-180 day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Kips Bay Medical, Inc.), Underwriting Agreement (Kips Bay Medical, Inc.), Underwriting Agreement (Kips Bay Medical, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (Jupiter Wellness, Inc.), Underwriting Agreement (PAVmed Inc.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Cn Energy Group. Inc.), Underwriting Agreement (Cn Energy Group, Inc.), Underwriting Agreement (Goxus, Inc)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, in each case, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Placement Agency Agreement (Fangdd Network Group Ltd.), Placement Agency Agreement (Fangdd Network Group Ltd.), Placement Agency Agreement (Fangdd Network Group Ltd.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company's knowledge, any beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company's knowledge, any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp), Underwriting Agreement
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Fit Boxx Holdings LTD), Underwriting Agreement (Skillful Craftsman Education Technology LTD), Underwriting Agreement (Skillful Craftsman Education Technology LTD)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, Company or (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which that were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Boxlight Corp), Underwriting Agreement (Soligenix, Inc.), Underwriting Agreement (Soligenix, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, ; (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities securities; or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities, who acquired any equity securities which were acquired of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Energys Group LTD), Underwriting Agreement (Energys Group LTD)
FINRA Affiliation. There is no (i) officer or director of the CompanyCompany or any Subsidiary, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Perfect Moment Ltd.), Underwriting Agreement (Perfect Moment Ltd.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities, who acquired any equity securities which were acquired of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Adamas One Corp.), Underwriting Agreement (Adamas One Corp.)
FINRA Affiliation. There To the knowledge of the Company, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Atossa Genetics Inc), Underwriting Agreement (Atossa Genetics Inc)
FINRA Affiliation. There is no (i) No officer or director director, or to the knowledge of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during or Person that has received the 180-day period immediately preceding Company’s unregistered securities within the filing of the Registration Statement that is an affiliate past 180 days has any direct or associated person of a indirect affiliation or association with any FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Cytori Therapeutics, Inc.), Underwriting Agreement (Stemcells Inc)
FINRA Affiliation. There is no (i) officer officer, director or director corporate auditor of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Medirom Healthcare Technologies Inc.), Underwriting Agreement (Medirom Healthcare Technologies Inc.)
FINRA Affiliation. There Except as set forth in the Registration Statement and the Prospectus, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Open Market Sale Agreement (Aldeyra Therapeutics, Inc.), Open Market Sale Agreement (Aldeyra Therapeutics, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company's knowledge, beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) to the Company's knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing or submission of the Registration Offering Statement that is an affiliate or associated person of a FINRA member participating in the Offering Placement (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Placement Agent Agreement (Flora Growth Corp.), Placement Agent Agreement (Flora Growth Corp.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, in each case, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Placement Agency Agreement (Fangdd Network Group Ltd.), Placement Agency Agreement (Fangdd Network Group Ltd.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Sentage Holdings Inc.), Underwriting Agreement (Sentage Holdings Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 5% ten percent (10%) or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were who acquired any equity securities of the Company during the 180-day one hundred eighty (180)-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Treasure Global Inc)
FINRA Affiliation. There To the Company’s knowledge, there is no (ia) officer or director of the Company, (iib) beneficial owner of 5% five percent (5.0%) or more of any class of the Company’s 's securities or (iiic) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (Cesca Therapeutics Inc.)
FINRA Affiliation. There is no (i1) officer or director of the Company, (ii2) beneficial owner of 5% or more of any class of the Company’s securities or (iii3) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).. (v)
Appears in 2 contracts
Samples: Placement Agent Agreement (Inmune Bio, Inc.), Placement Agent Agreement (Inmune Bio, Inc.)
FINRA Affiliation. There is no no: (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) to the knowledge of the Company, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Xenetic Biosciences, Inc.), Underwriting Agreement (Xenetic Biosciences, Inc.)
FINRA Affiliation. There Except as disclosed in their FINRA confirmations, to the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (InspireMD, Inc.)
FINRA Affiliation. There is no (i) officer or director of the CompanyCompany or any of its subsidiaries, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (Super League Gaming, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (PARETEUM Corp), Underwriting Agreement (PARETEUM Corp)
FINRA Affiliation. There is no (i) officer officer, director or director nominee of the Company, or, to the Company’s knowledge, any (iii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iiiii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (DERMAdoctor, Inc.), Underwriting Agreement (DERMAdoctor, LLC)
FINRA Affiliation. There Except as set forth on Schedule 2.20.4, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which that were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Vallon Pharmaceuticals, Inc.), Underwriting Agreement (Vallon Pharmaceuticals, Inc.)
FINRA Affiliation. There As disclosed in the Registration Statement, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the one hundred eighty (180-) day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) or, to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Staffing 360 Solutions, Inc.), Underwriting Agreement (Staffing 360 Solutions, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities known to us or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (SuperCom LTD), Underwriting Agreement (SuperCom LTD)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (High Roller Technologies, Inc.), Underwriting Agreement (Truleum, Inc.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Intellipharmaceutics International Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the initial filing of the Registration Statement that that, in each case and to the Company’s knowledge, is an affiliate or associated person of a Participating FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA)Member .
Appears in 2 contracts
Samples: Underwriting Agreement (Lemeng Holdings LTD), Underwriting Agreement (Jayud Global Logistics LTD)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company's knowledge, any beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) to the Company's knowledge, any beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: At the Market Issuance Sales Agreement (Flora Growth Corp.), Underwriting Agreement (Flora Growth Corp.)
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Cancer Prevention Pharmaceuticals, Inc.), Underwriting Agreement (Cancer Prevention Pharmaceuticals, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that that, in each case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Toppoint Holdings Inc.), Underwriting Agreement (Toppoint Holdings Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of five percent (5% %) or more of any class of the Company’s securities securities, or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day one hundred eighty (180)-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Treasure Global Inc)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) or, to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 2 contracts
Samples: Underwriting Agreement (Tapinator, Inc.), Underwriting Agreement (Tapinator, Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company or, to the Company’s knowledge, any (iii) beneficial owner of 5% or more of any class of the Company’s securities or (iiiii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer officer, director or director corporate auditor of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Samples: Underwriting Agreement (Medirom Healthcare Technologies Inc.)
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) or, to the Company’s knowledge, beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Statement Statement, that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Samples: Underwriting Agreement (Staffing 360 Solutions, Inc.)
FINRA Affiliation. There is no (iA) officer or director of the Company, (iiB) beneficial owner of 5% or more of any class of the Company’s 's securities or (iiiC) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the original filing of the Registration Offering Statement that that, in each case and to the best of the Company’s knowledge, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering offering of the Shares pursuant to this Agreement and any Terms Agreements (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There To the Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were who acquired any equity securities of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company's knowledge, beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) to the Company's knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the initial filing of the Registration Statement that that, in each case and to the Company’s knowledge, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) beneficial owner of 510% or more of any class of the Company’s securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s unregistered equity securities which were who acquired any equity securities of the Company during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There Other than as disclosed on Schedule 2.20.4, there is no (i) officer or director of the Company, (ii) beneficial owner of 5% or more of any class of the Company’s 's securities or (iii) beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
FINRA Affiliation. There is no (i) officer or director of the Company, (ii) to the Company’s knowledge, beneficial owner of 510% or more of any class of the Company’s 's securities or (iii) to the Company’s knowledge, beneficial owner of the Company’s 's unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that that, in each such case, is an affiliate or associated person of a FINRA member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).
Appears in 1 contract
Samples: Underwriting Agreement (Park Ha Biological Technology Co., Ltd.)
