Common use of FINRA Affiliation Clause in Contracts

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 15 contracts

Samples: Underwriting Agreement (Guided Therapeutics Inc), Underwriting Agreement (Oncocyte Corp), Underwriting Agreement (Agora Digital Holdings, Inc.)

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FINRA Affiliation. No officer, director director, or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS if it learns that any officer, director director, or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 11 contracts

Samples: Underwriting Agreement (Raytech Holding LTD), Underwriting Agreement (Mingteng International Corp Inc.), Underwriting Agreement (Mingteng International Corp Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS ZAG/S&W if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock capital stock (or Common Stock Equivalents securities convertible into capital stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 9 contracts

Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 9 contracts

Samples: Underwriting Agreement (Kiora Pharmaceuticals Inc), Warrant Agency Agreement (Aclarion, Inc.), Underwriting Agreement (Aclarion, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Representative Counsel if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible or exercisable into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 8 contracts

Samples: Underwriting Agreement (Timberline Resources Corp), Underwriting Agreement (Timberline Resources Corp), Underwriting Agreement (AspenBio Pharma, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Loeb if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 7 contracts

Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)

FINRA Affiliation. No officer, director or or, to the knowledge of the Company, any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the OfferingParticipating Member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firmParticipating Member.

Appears in 6 contracts

Samples: Underwriting Agreement (Key Mining Corp.), Underwriting Agreement (SOS Hydration Inc.), Underwriting Agreement (Nexgel, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxx Xxxxxxx & Li LLC if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents capital stock is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 5 contracts

Samples: Underwriting Agreement (Northann Corp.), Lock Up Agreement (Elevai Labs Inc.), Lock Up Agreement (Northann Corp.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating except as set forth in the OfferingRegistration Statement. The Company will advise the Representative and EGS if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into shares of Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 5 contracts

Samples: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Karat Packaging Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 4 contracts

Samples: Underwriting Agreement (Lucas GC LTD), Underwriting Agreement (ICZOOM Group Inc.), Underwriting Agreement (ICZOOM Group Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative Representative, its counsel, Xxxxx Xxxxxxx LLP and EGS Xxxxxx Xxxxxxx, Xxxxxxx & Li LLC, if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Class A Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 4 contracts

Samples: Underwriting Agreement (Haoxi Health Technology LTD), Underwriting Agreement (Haoxi Health Technology LTD), Underwriting Agreement (Haoxi Health Technology LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS HTFL if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 4 contracts

Samples: Underwriting Agreement (Cine Top Culture Holdings Ltd.), Underwriting Agreement (Lichen China LTD), Underwriting Agreement (Zhong Yang Financial Group LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Representatives and EGS AK if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 4 contracts

Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Peak Resorts Inc)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will shall advise the Representative and EGS Xxxxxx Frome Xxxxxxx LLP, counsel to the Representative (“Representative’s Counsel”), if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 4 contracts

Samples: Underwriting Agreement (Haoxin Holdings LTD), Underwriting Agreement (Top KingWin LTD), Underwriting Agreement (Top KingWin LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxx Xxxxxxx & Li LLC if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 4 contracts

Samples: Underwriting Agreement (Powell Max LTD), Underwriting Agreement (Neo-Concept International Group Holdings LTD), Underwriting Agreement (Neo-Concept International Group Holdings LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm).

Appears in 4 contracts

Samples: Underwriting Agreement (Provectus Biopharmaceuticals, Inc.), Underwriting Agreement (Stemcells Inc), Underwriting Agreement (Stemcells Inc)

FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 4 contracts

Samples: Underwriting Agreement (Bio Key International Inc), Underwriting Agreement (Nephros Inc), Underwriting Agreement (Bio Key International Inc)

FINRA Affiliation. No To the Company’s knowledge and except as otherwise set forth in the Registration Statement or Prospectus, no officer, director or any beneficial owner of more than 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm).

Appears in 3 contracts

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

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 3 contracts

Samples: Underwriting Agreement (Biodexa Pharmaceuticals PLC), Underwriting Agreement (Biodexa Pharmaceuticals PLC), Underwriting Agreement (Biodexa Pharmaceuticals PLC)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxxxxx LLP, counsel to the Representative, if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 3 contracts

Samples: Underwriting Agreement (DAVIS COMMODITIES LTD), Underwriting Agreement (DAVIS COMMODITIES LTD), Underwriting Agreement (Majestic Ideal Holdings LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Hxxxxx and Bxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 3 contracts

Samples: Underwriting Agreement (Skystar Bio-Pharmaceutical Co), Underwriting Agreement (Skystar Bio-Pharmaceutical Co), Underwriting Agreement (Skystar Bio-Pharmaceutical Co)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Placement Agent and EGS its counsel if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 3 contracts

Samples: Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD), Placement Agreement (Tantech Holdings LTD)

FINRA Affiliation. No officer, officer or director or any beneficial owner (including the Insiders) of 5% or more any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS GM if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Insider is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 3 contracts

Samples: Underwriting Agreement (Haymaker Acquisition Corp.), Underwriting Agreement (Haymaker Acquisition Corp.), Underwriting Agreement (Haymaker Acquisition Corp.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Sxxxxxxxx Xxxx Xxxxxxx Carmel LLP if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 3 contracts

Samples: Underwriting Agreement (QMMM Holdings LTD), Underwriting Agreement (QMMM Holdings LTD), Underwriting Agreement (QMMM Holdings LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Oxxxxx Rxxxxxxxxx LLP (“Representative’s Counsel”) if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firm.Participating Member;

Appears in 3 contracts

Samples: Underwriting Agreement (Primega Group Holdings LTD), Underwriting Agreement (Primega Group Holdings LTD), Underwriting Agreement (Primega Group Holdings LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxxxxx LLP if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents capital stock is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 3 contracts

Samples: Underwriting Agreement (Inno Holdings Inc.), Lock Up Agreement (Inno Holdings Inc.), Lock Up Agreement (Inno Holdings Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Oxxxxx Rxxxxxxxxx LLP if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (Vs MEDIA Holdings LTD), Underwriting Agreement (Vs MEDIA Holdings LTD)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into exercisable or exchangeable for shares of Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Journey Medical Corp), Underwriting Agreement (Journey Medical Corp)

FINRA Affiliation. No officerofficer or director or, director or to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Underwriter Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Underwriting Agreement (Cachet Financial Solutions, Inc.), Underwriting Agreement (Cachet Financial Solutions, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS AK if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxx Xxxxxxx & Li LLC if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (Wellchange Holdings Co LTD), Underwriting Agreement (Wellchange Holdings Co LTD)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriters and EGS its counsel if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater shareholder of the Company, except as determined in accordance with the rules and regulations of FINRA) that is participating set forth in the OfferingBase Prospectus or except as previously disclosed to the Underwriters. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Underwriting Agreement (IsoRay, Inc.), Underwriting Agreement (IsoRay, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents (as defined below) is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Underwriting Agreement (Viveve Medical, Inc.), Underwriting Agreement (Viveve Medical, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating except as set forth in the OfferingRegistration Statement. The Company will advise the Representative and EGS MZRL if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (China Education, Inc), Underwriting Agreement (China Education, Inc)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Manager if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Market Offering Agreement (Cleanspark, Inc.), The Market Offering Agreement (Cleanspark, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the OfferingParticipating Member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (SHENGFENG DEVELOPMENT LTD), SHENGFENG DEVELOPMENT LTD

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS Cozen O’Xxxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)

FINRA Affiliation. No To the Company’s knowledge, other than Jxxx X. Xxxxx III, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Representatives and EGS SHLLP if it learns that any other officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Underwriting Agreement (Biofrontera Inc.), Underwriting Agreement (Biofrontera Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS HSE if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Amphitrite Digital Inc, Amphitrite Digital Inc

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxxxxx LLP (“Representative Counsel”) if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (J-Long Group LTD), Underwriting Agreement (J-Long Group LTD)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Szaferman if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Tantech Holdings LTD), Underwriting Agreement (Tantech Holdings LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more greater beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise has advised the Representative and EGS if it learns that Loeb of any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) that is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more greater beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise has advised the Representative Underwriter and EGS if it learns that Loeb of any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) that is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 2 contracts

Samples: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Xxxxxx Xxxxxxxxxx LLP, the Representative’s counsel if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (Advanced Biomed Inc.), Underwriting Agreement (Advanced Biomed Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will shall advise the Representative and EGS Oxxxxx Frome Wxxxxxx LLP, counsel to the Representative (“Representative’s Counsel”), if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 2 contracts

Samples: Underwriting Agreement (Youxin Technology LTD), Underwriting Agreement (Youxin Technology LTD)

FINRA Affiliation. No Except as disclosed to the Underwriters, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Apricus Biosciences, Inc., Apricus Biosciences, Inc.

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 2 contracts

Samples: Warrant Agency Agreement (DelMar Pharmaceuticals, Inc.), Underwriting Agreement (DelMar Pharmaceuticals, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS its counsel if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Fuling Global Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS SHLLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Unicycive Therapeutics, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating ), except as set forth in the OfferingRegistration Statement. The Company will advise the Representative Placement Agent and EGS its counsel if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Placement Agent Agreement (New Generation Biofuels Holdings, Inc)

FINRA Affiliation. No executive officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s unregistered securities outstanding Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS CLM if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Medigus Ltd.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating except as set forth in the OfferingRegistration Statement. The Company will advise the Representative and EGS if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into exercisable or exchangeable for shares of Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Coya Therapeutics, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Underwriter and EGS Xxxxx if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Volitionrx LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS HTFL if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (China Recycling Energy Corp)

FINRA Affiliation. No executive officer, director or or, to the Company’s knowledge, any beneficial owner of 510% or more of the Company’s unregistered securities outstanding Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Underwriter and EGS SRF if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (SciSparc Ltd.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS Xxxxx Xxxxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (SkyPeople Fruit Juice, Inc)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Uranium Energy Corp)

FINRA Affiliation. No officer, director or or, to the knowledge of the Company, any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the OfferingParticipating Member. The Company will advise the Representative and EGS M&E if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (Key Mining Corp.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS its counsel, Oxxxxx Rxxxxxxxxx LLP, if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (J-Star Holding Co., Ltd.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS XxXxxxxxx if it learns any time prior to the expiration of the Over-allotment Option that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible or exercisable into shares of Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (U.S. Rare Earths, Inc)

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FINRA Affiliation. No With the exception of Gxxxxxx Xxxxxx, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS Mxxxx if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Immix Biopharma, Inc.)

FINRA Affiliation. No officer, director or or, to the knowledge of the Company, any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS Agent if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Open Market Sale (Vuzix Corp)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered 's securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm).

Appears in 1 contract

Samples: Underwriting Agreement (Cel Sci Corp)

FINRA Affiliation. No officer, director director, or any beneficial owner of 510% or more of any class of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS if it learns that any officer, director director, or beneficial owner of 510% or more of any class of the Company’s outstanding shares of Common Stock or Common Stock Equivalents securities is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (Reitar Logtech Holdings LTD)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Underwriter and EGS Axxxxxx LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (MamaMancini's Holdings, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities shares of Common Stock or Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Adial Pharmaceuticals, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS LB if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Lock Up Agreement (Applied UV, Inc.)

FINRA Affiliation. No To the best of the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS R&P if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Ordinary Shares (or Common Stock Equivalents securities convertible into Ordinary Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Sunity Online Entertainment LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Sole Elite Group LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS SRFF if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Skystar Bio-Pharmaceutical Co)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the OfferingParticipating Member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: NeuroSense Therapeutics Ltd.

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Aileron Therapeutics, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative and EGS Oxxxxx Rxxxxxxxxx LLP (“Representative Counsel”) if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents share capital is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (FBS Global LTD)

FINRA Affiliation. No Except as set forth in the SEC Reports, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Rexahn Pharmaceuticals, Inc.)

FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Cellectar Biosciences, Inc.)

FINRA Affiliation. No officer, director director, or any beneficial owner of five percent (5% %) or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director director, or owner of five percent (5% %) or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Tenon Medical, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Manager if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock common stock or Common Stock Equivalents common stock equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Equity Distribution Agreement (Geo Group Inc)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Representatives and EGS Faegre if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (AquaBounty Technologies, Inc.)

FINRA Affiliation. No officer, director or or, to the knowledge of the Company, any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Manager if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Market Offering Agreement (Greenland Technologies Holding Corp.)

FINRA Affiliation. No officer, director or any beneficial owner of five (5% %) or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Loeb if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Letter Agreement (Protalex Inc)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: iMedia Brands, Inc.

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative Representative, its counsel, Winston & Xxxxxx LLP and EGS Xxxxxx Xxxxxxxxxx LLP, if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents Ordinary Shares is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (U-Bx Technology Ltd.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS Xxxxxxx Xxxxx LLP if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Hyperdynamics Corp)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS Xxxxxx Xxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Kingold Jewelry, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Gxxxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Cutanea Life Sciences Inc)

FINRA Affiliation. No officer, director or any beneficial owner of at least 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Xxxxxx Xxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Kips Bay Medical, Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating except as set forth in the OfferingRegistration Statement. The Company will advise the Representative and EGS RP if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (China Education Alliance Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative Representatives and EGS Xxxxxx Xxxxxxx Xxxxxxx & Li LLC if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents capital stock is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Lock Up Agreement (Elevai Labs Inc.)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating Participating Member in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (Dermata Therapeutics, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater shareholder of the Company, except as determined in accordance with the rules and regulations of FINRA) that is participating set forth in the OfferingBase Prospectus or except as previously disclosed to the Purchasers. The Company will advise the Representative Placement Agent and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Securities Purchase Agreement (IsoRay, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Representatives and EGS DLA Piper LLP (US) if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Sino Clean Energy Inc)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities outstanding Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the OfferingParticipating Member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Advanced Human Imaging LTD

FINRA Affiliation. No officer, director or any beneficial owner of five percent (5% %) or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS if it learns that any officer, director or owner of five percent (5% %) or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (CYREN Ltd.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative Co-Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Lakeland Industries Inc)

FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative Underwriter and EGS Xxxxxxxxxx & Xxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock (or securities convertible into shares of Common Stock Equivalents Stock) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (Uni-Pixel)

FINRA Affiliation. No officerOfficers, director or any directors and beneficial owner of 5% or more owners of the Company’s unregistered securities has any do have direct or and/or indirect affiliation or association with any a FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Placement Agent if it learns that any officerthese officers, director directors or owner owners of at least 5% or more of the Company’s outstanding shares of Common Stock common stock (or Common Stock Equivalents securities convertible into common stock) is or becomes no longer an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Placement Agent Agreement (Endurance Exploration Group, Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% five percent (5.0%) or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% five percent (5.0%) or more of the Company’s outstanding shares of Common Stock Ordinary Shares or Common Stock Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.

Appears in 1 contract

Samples: Underwriting Agreement (Virax Biolabs Group LTD)

FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member Participating Member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringdefined under FINRA rules). The Company will advise the Representative Representative, its counsel, Xxxxxx & Xxxxxxx LLP and EGS Winston & Xxxxxx LLP, if it learns that any officer, director or owner of 510% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated registered person of a FINRA member firmParticipating Member.

Appears in 1 contract

Samples: Underwriting Agreement (Linkhome Holdings Inc.)

FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering). The Company will advise the Representative and EGS Xxxxxx if it learns that any officer, director or owner of at least 5% or more of the Company’s outstanding shares of Common Stock Shares (or Common Stock Equivalents securities convertible into Shares) is or becomes an affiliate or associated person of a FINRA member firmparticipating in the Offering.

Appears in 1 contract

Samples: Underwriting Agreement (CastleRock Security Holdings, Inc.)

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