FINRA Affiliations. 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 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 (A) the date the Registration Statement was initially filed with the Commission and (B) the date the Prospectus was filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 9 contracts
Samples: Underwriting Agreement (Biodel Inc), Underwriting Agreement (Biodel Inc), Underwriting Agreement (Biodel Inc)
FINRA Affiliations. 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 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 (A) the date the Registration Statement was initially filed with the Commission and (B) the date the Prospectus was filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 8 contracts
Samples: Placement Agency Agreement (BSD Medical Corp), Placement Agency Agreement (Peregrine Pharmaceuticals Inc), Placement Agency Agreement (BSD Medical Corp)
FINRA Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority, Inc. (“FINRA”) and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders 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 (A) the date the Registration Statement was initially filed with the Commission and (B) the date the Prospectus was filed with the Commission, except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Cardica Inc), Underwriting Agreement (Cardica Inc), Underwriting Agreement (Cardica Inc)
FINRA Affiliations. To the Company’s knowledge, 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 securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) 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 (A) the date the Registration Statement was initially filed with the Commission and (B) the date the Prospectus was 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 (Cytori Therapeutics, Inc.)
FINRA Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of FINRA the Financial Industry Regulatory Authority, Inc. (“FINRA”) and (ii) the Company or any of the Company’s officers, directors or 5% or greater 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 (A) the date the Registration Statement was initially filed with the Commission and (B) the date the Prospectus was filed with the Commission, except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 1 contract
