FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 91 contracts
Samples: Placement Agency Agreement (PSQ Holdings, Inc.), Placement Agency Agreement (Stryve Foods, Inc.), Placement Agency Agreement (Creative Medical Technology Holdings, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 90 contracts
Samples: Placement Agency Agreement (GeoVax Labs, Inc.), Placement Agency Agreement (GeoVax Labs, Inc.), Placement Agency Agreement (GeoVax Labs, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 75 contracts
Samples: Placement Agent Agreement (ONCOSEC MEDICAL Inc), Placement Agent Agreement (ALKALINE WATER Co INC), Placement Agent Agreement (ONCOSEC MEDICAL Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) 5.0% or greater stockholder of the Company.
Appears in 27 contracts
Samples: Placement Agency Agreement (Helius Medical Technologies, Inc.), Placement Agency Agreement (Helius Medical Technologies, Inc.), Placement Agency Agreement (Wisa Technologies, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.
Appears in 17 contracts
Samples: Placement Agency Agreement (Biodexa Pharmaceuticals PLC), Placement Agency Agreement (Palisade Bio, Inc.), Placement Agency Agreement (Biodexa Pharmaceuticals PLC)
FINRA Affiliations. There Except as disclosed in the Prospectus, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company.
Appears in 12 contracts
Samples: Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (China Eco-Materials Group Co. LTD)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is a member of the FINRA participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company.
Appears in 11 contracts
Samples: Placement Agency Agreement (Algorhythm Holdings, Inc.), Placement Agency Agreement (Algorhythm Holdings, Inc.), Placement Agency Agreement (Elevai Labs Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 11 contracts
Samples: Placement Agreement (Urban Tea, Inc.), Placement Agreement (SOS LTD), Placement Agreement (Urban Tea, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 9 contracts
Samples: Financial Advisory Agreement (PharmaCyte Biotech, Inc.), Placement Agent Agreement (Hyperdynamics Corp), Placement Agent Agreement (China Gengsheng Minerals, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except for Jxxx X. Xxxx, a director of the Company.
Appears in 9 contracts
Samples: Placement Agency Agreement (Medical Transcription Billing, Corp), Placement Agency Agreement (Medical Transcription Billing, Corp), Placement Agency Agreement (Medical Transcription Billing, Corp)
FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.
Appears in 7 contracts
Samples: Placement Agency Agreement (Holdco Nuvo Group D.G Ltd.), Placement Agency Agreement (Mainz Biomed N.V.), Placement Agency Agreement (Orgenesis Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) officers or greater stockholder of the Companydirectors.
Appears in 6 contracts
Samples: Placement Agency Agreement (Calidi Biotherapeutics, Inc.), Placement Agency Agreement (Calidi Biotherapeutics, Inc.), Placement Agency Agreement (Calidi Biotherapeutics, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the actual knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 6 contracts
Samples: Placement Agent Agreement (Spectrum Pharmaceuticals Inc), Placement Agent Agreement (Spectrum Pharmaceuticals Inc), Placement Agent Agreement (Spectrum Pharmaceuticals Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the CompanyCompany other than as previously disclosed in writing to the Placement Agent.
Appears in 4 contracts
Samples: Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc)
FINRA Affiliations. There To the Company’s knowledge, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.
Appears in 4 contracts
Samples: Placement Agency Agreement (Oxygen Biotherapeutics, Inc.), Placement Agency Agreement (Oxygen Biotherapeutics, Inc.), Placement Agency Agreement (Oxygen Biotherapeutics, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company. The Company will advise Sunrise and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 4 contracts
Samples: Placement Agency Agreement (Liqtech International Inc), Placement Agency Agreement (Liqtech International Inc), Placement Agency Agreement (Liqtech International Inc)
FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (FINRA) member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 4 contracts
Samples: Placement Agent Agreement (Hythiam Inc), Placement Agent Agreement (Cardium Therapeutics, Inc.), Placement Agent Agreement (Cardium Therapeutics, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Amarin Corp Plc\uk), Securities Purchase Agreement (Amarin Corp Plc\uk), Placement Agent Agreement (Polymedix Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company.
Appears in 4 contracts
Samples: Placement Agency Agreement (Ebang International Holdings Inc.), Placement Agency Agreement (Ebang International Holdings Inc.), Placement Agency Agreement (Ebang International Holdings Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus or in the Prospectus Supplement.
Appears in 3 contracts
Samples: Placement Agent Agreement (Celsion CORP), Placement Agent Agreement (Celsion CORP), Placement Agent Agreement (Celsion CORP)
FINRA Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between any member of FINRA member firm that is participating in the Offering among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of security holders, except as set forth in the CompanyRegistration Statement, the General Disclosure Package or the Final Prospectus.
Appears in 3 contracts
Samples: Placement Agent Agreement (XOMA Corp), Underwriting Agreement (XOMA Corp), Underwriting Agreement (XOMA Corp)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 3 contracts
Samples: Placement Agent Agreement (Pharmathene, Inc), Placement Agent Agreement (Pharmathene, Inc), Placement Agent Agreement (Pharmathene, Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.
Appears in 3 contracts
Samples: Placement Agent Agreement (Aeterna Zentaris Inc.), Placement Agent Agreement (Aeterna Zentaris Inc.), Placement Agent Agreement (Cell Therapeutics Inc)
FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 3 contracts
Samples: Placement Agent Agreement (Rexahn Pharmaceuticals, Inc.), Placement Agent Agreement (Rexahn Pharmaceuticals, Inc.), Placement Agent Agreement (Vical Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officersofficers or directors, directors or, or to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 3 contracts
Samples: Placement Agency Agreement (Calidi Biotherapeutics, Inc.), Placement Agency Agreement (Calidi Biotherapeutics, Inc.), Placement Agency Agreement (Nuwellis, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.
Appears in 2 contracts
Samples: Placement Agent Agreement (Cell Therapeutics Inc), Placement Agent Agreement (Cell Therapeutics Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus or the Prospectus Supplement.
Appears in 2 contracts
Samples: Placement Agent Agreement (Adventrx Pharmaceuticals Inc), Placement Agent Agreement (Adventrx Pharmaceuticals Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Disclosure Documents.
Appears in 2 contracts
Samples: Placement Agent Agreement (Edap TMS Sa), Placement Agreement (Edap TMS Sa)
FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.
Appears in 2 contracts
Samples: Placement Agency Agreement (Iterum Therapeutics PLC), Placement Agency Agreement (Iterum Therapeutics PLC)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Prospectus Supplement.
Appears in 2 contracts
Samples: Placement Agent Agreement (Aeterna Zentaris Inc.), Placement Agent Agreement (Aeterna Zentaris Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering of The Financial Industry Regulatory Authority, Inc. (“FINRA”) among the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) or greater stockholder of the Company.
Appears in 2 contracts
Samples: Placement Agency Agreement (Pharmathene, Inc), Underwriting Agreement (Pharmathene, Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) 's officers or greater stockholder of the Companydirectors.
Appears in 2 contracts
Samples: Placement Agency Agreement (Seelos Therapeutics, Inc.), Placement Agency Agreement (Seelos Therapeutics, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is a member of the FINRA participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) 10% or greater stockholder shareholder of the Company.
Appears in 2 contracts
Samples: Placement Agency Agreement (VivoPower International PLC), Placement Agency Agreement (VivoPower International PLC)
FINRA Affiliations. There are no affiliations with any FINRA Financial Industry Regulatory Authority (“FINRA”) member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Disclosure Schedule.
Appears in 2 contracts
Samples: Placement Agent Agreement (Superconductor Technologies Inc), Placement Agent Agreement (Superconductor Technologies Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Prospectus.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Raptor Pharmaceutical Corp)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder of the Company.
Appears in 2 contracts
Samples: Placement Agency Agreement (Kartoon Studios, Inc.), Placement Agency Agreement (Kartoon Studios, Inc.)
FINRA Affiliations. There To the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.
Appears in 2 contracts
Samples: Placement Agency Agreement (Beachbody Company, Inc.), Placement Agency Agreement (Nautilus, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after March 1, 2012, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 1 contract
Samples: Placement Agency Agreement (Wireless Ronin Technologies Inc)
FINRA Affiliations. There Except as disclosed in the Prospectus, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after May 1, 2011, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 1 contract
Samples: Placement Agency Agreement (Wireless Ronin Technologies Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Prospectus Disclosure Package.
Appears in 1 contract
Samples: Placement Agent Agreement (New Generation Biofuels Holdings, Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company., except as set forth in the Base Prospectus. Far East Energy Corporation
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after December 1, 2012, except as set forth in the Base Prospectus. The Company will advise the Placement Agents and their counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 1 contract
Samples: Placement Agency Agreement (Manitex International, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, officers directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 1 contract
Samples: Co Placement Agency Agreement (Cyclacel Pharmaceuticals, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in (i) the Base Prospectus or (ii) any of the Incorporated Documents (including any of the exhibits thereto).
Appears in 1 contract
Samples: Placement Agent Agreement (Opexa Therapeutics, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company., except as set forth in the Base Prospectus. Cell Therapeutics, Inc.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as disclosed to the Placement Agent.
Appears in 1 contract
Samples: Placement Agency Agreement (Ekso Bionics Holdings, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Preliminary Prospectus and Final Prospectus.
Appears in 1 contract
Samples: Placement Agent Agreement (Pimi Agro Cleantech, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus or in Schedule 3(DD).
Appears in 1 contract
Samples: Placement and Underwriting Agreement (Cortex Pharmaceuticals Inc/De/)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement and Prospectus.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder of the Company.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company., except as set forth in the Base Prospectus. iFresh Inc. March 26, 2018 Page 5
Appears in 1 contract
Samples: Placement Agreement (iFresh Inc)
FINRA Affiliations. There are no affiliations with or associations between any member of FINRA member firm that is participating in the Offering among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Companysecurityholders.
Appears in 1 contract
Samples: Equity Distribution Agreement (Helios & Matheson Analytics Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the best of the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement or otherwise disclosed in writing to the Representative.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (55.0%) or greater stockholder of the Company, except as set forth in the Registration Statement.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to To the knowledge of the Company, there are no affiliations or associations between any five percent (5%) or greater stockholder member of FINRA and the Company, any of the Company’s officers or directors or the Company’s five percent or greater stockholders.
Appears in 1 contract
Samples: Underwriting Agreement (Select Energy Services, Inc.)
FINRA Affiliations. There are no present affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 1 contract
Samples: Placement Agent Agreement (Authentidate Holding Corp)
FINRA Affiliations. There Except as disclosed in the SEC Reports, to the knowledge of the Company, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company.
Appears in 1 contract
Samples: Placement Agency Agreement (Ohr Pharmaceutical Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus. You further agree that we may rely upon, and are a third party beneficiary of, the representations and warranties, and applicable covenants, set forth in any agreements with Investors.
Appears in 1 contract
Samples: Placement Agent Agreement (Cardium Therapeutics, Inc.)
FINRA Affiliations. There Except for Xxxx Xxxxxxx, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with or associations between any member of FINRA member firm that is participating in the Offering among and any of the Company’s officers, directors or, to the knowledge of the Company’s knowledge, any five percent (5%) % or greater stockholder of the Companysecurityholders.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company. The Company will advise the Placement Agent 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: Placement Agency Agreement (ENDRA Life Sciences Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after September 1, 2012, except as set forth in the Base Prospectus. The Company will advise Xxxx and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 1 contract
Samples: Placement Agency Agreement (Wireless Ronin Technologies Inc)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) % or greater stockholder shareholder of the Company., except as set forth in the Base Prospectus. Cell Therapeutics, Inc.
Appears in 1 contract
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company or any owner of any amount of the Company’s unregistered securities acquired on or after December 1, 2011, except as set forth in the Base Prospectus. The Company will advise Avondale and its counsel if it becomes aware that any officer, director or shareholder of the Company or its subsidiaries is or becomes an affiliate or associated person of a FINRA member participating in the Placement.
Appears in 1 contract
Samples: Placement Agency Agreement (Manitex International, Inc.)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Registered Offering among the Company’s officers, officers or directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company.
Appears in 1 contract
Samples: Placement Agency Agreement (Cyclacel Pharmaceuticals, Inc.)
FINRA Affiliations. There Other than Xxxxxx X. Xxxxxxxxx, there are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 1 contract
Samples: Placement Agent Agreement (Rxi Pharmaceuticals Corp)
FINRA Affiliations. There are no affiliations with any FINRA member firm that is participating in the Offering among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as disclosed in the FINRA questionnaires previously provided by the Company to the Placement Agent.
Appears in 1 contract
Samples: Placement Agency Agreement (Capricor Therapeutics, Inc.)
