FINRA Affiliations. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company 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, the Disclosure Package and the Prospectus, or on Schedule IV hereto.
Appears in 6 contracts
Samples: Underwriting Agreement (Miller Energy Resources, Inc.), Underwriting Agreement (Miller Energy Resources, Inc.), Underwriting Agreement (Miller Energy Resources, Inc.)
FINRA Affiliations. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company 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, the Disclosure Package and the Prospectus, or on Schedule IV III hereto.
Appears in 5 contracts
Samples: Underwriting Agreement (Yuma Energy, Inc.), Underwriting Agreement (Adcare Health Systems, Inc), Underwriting Agreement (Dolan Co.)
FINRA Affiliations. There are no affiliations or associations between (i) any member of the FINRA and (ii) the Company 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, the Disclosure Package and the Prospectus, or on Schedule IV hereto.
Appears in 2 contracts
Samples: Underwriting Agreement (GWG Holdings, Inc.), Underwriting Agreement (GWG Holdings, Inc.)
