Common use of FINRA Affiliations Clause in Contracts

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 7 contracts

Samples: Placement Agency Agreement (MusclePharm Corp), Placement Agency Agreement (MusclePharm Corp), Placement Agency Agreement (MusclePharm Corp)

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FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date of the Registration Statement was initially filed with Prospectus Supplement, except as set forth in the CommissionSEC Filings.

Appears in 3 contracts

Samples: Financial Advisory Agreement (ZBB Energy Corp), Financial Advisory Agreement (ZBB Energy Corp), Financial Advisory Agreement (Overland Storage Inc)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 3 contracts

Samples: Placement Agency Agreement (Inventergy Global, Inc.), Placement Agency Agreement (Inventergy Global, Inc.), Placement Agency Agreement (Augme Technologies, Inc.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.

Appears in 2 contracts

Samples: Placement Agency Agreement (BPZ Resources, Inc.), Placement Agency Agreement (Delcath Systems Inc)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or directors, 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after during the one hundred eightieth (180th) 180-day period immediately preceding the date initial submission of the Registration Statement was initially filed with to the Commission, except as set forth in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Q2 Holdings, Inc.), Underwriting Agreement (Q2 Holdings, Inc.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of the Company’s 's officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s 's unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.

Appears in 2 contracts

Samples: Placement Agency Agreement (Houston American Energy Corp), Underwriting Agreement (Magnum Hunter Resources Corp)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or or, to the knowledge of the Company, any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement and the Prospectus, or on Schedule 5 hereto.

Appears in 2 contracts

Samples: At Market Issuance Sales Agreement (Adcare Health Systems Inc), At Market Issuance Sales Agreement (Miller Energy Resources, Inc.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred eightieth (180th) day immediately preceding the date either of the Registration Statement Statements was initially filed with the Commission, except as set forth in the Registration Statements, the Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Placement Agency Agreement (Avanir Pharmaceuticals)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) 180th day immediately preceding the date the Registration Statement was Statements were initially filed with the Commission, except as disclosed in the Registration Statements (excluding the exhibits thereto), the Preliminary Prospectuses and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Sanchez Energy Corp)

FINRA Affiliations. Except as previously disclosed in writing to the Co-Placement AgentAgents, to the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Co Placement Agency Agreement (Rosetta Genomics Ltd.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement Preliminary Prospectus Supplement was initially filed with the Commission, except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (AxoGen, Inc.)

FINRA Affiliations. Except To the Company’s knowledge and except as previously disclosed in writing to the Placement Agent, to the Company’s knowledgeUnderwriters, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) 180th day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Emerald Oil, Inc.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Placement Agency Agreement (Northwest Biotherapeutics Inc)

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FINRA Affiliations. Except To the Company’s knowledge and except as previously disclosed in writing to the Placement Agent, to the Company’s knowledgeUnderwriter, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) 180th day immediately preceding the date the Registration Statement was initially filed with the Commission.

Appears in 1 contract

Samples: Underwriting Agreement (Emerald Oil, Inc.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company or any of the Company’s officers, directors or or, to the Company’s knowledge any 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Placement Agency Agreement (Hudson Technologies Inc /Ny)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) 180th day immediately preceding the date the Registration Statement was initially filed with the Commission, except as disclosed in the Registration Statement (excluding the exhibits thereto) and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Gse Systems Inc)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, any Preliminary Prospectus and each Prospectus Supplement.

Appears in 1 contract

Samples: Placement Agency Agreement (Orckit Communications LTD)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Placement Agency Agreement (ChromaDex Corp.)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to the Company’s knowledge, there There are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Delcath Systems Inc)

FINRA Affiliations. Except as previously disclosed in writing to the Placement Agent, to To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA and (ii) the Company or any of the Company’s officers, directors or 5% or greater security holders securityholders or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the one hundred eightieth (180th) 180th day immediately preceding the date the Registration Statement was initially filed with the Commission, except as disclosed in the Registration Statement (excluding the exhibits thereto), the Preliminary Prospectuses and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Sanchez Energy Corp)

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