FINRA Affiliations. To the knowledge of the Company, there are no affiliations or associations between any member of FINRA (as defined herein) and any of the Company’s officers or directors, except as described in the Registration Statement, the Time of Sale Information and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Chesapeake Granite Wash Trust), Underwriting Agreement (Chesapeake Granite Wash Trust), Underwriting Agreement (Chesapeake Granite Wash Trust)
FINRA Affiliations. To the knowledge of the Company’s knowledge, there are no affiliations or associations between any member of FINRA (as defined herein) and any of the Company’s officers officers, directors or directors5% or greater security holders, except as described set forth in the Registration Statement, the Time of Sale Information and Statement or the Prospectus.
Appears in 2 contracts
Samples: Sales Agreement (OvaScience, Inc.), Sales Agreement (XOMA Corp)
FINRA Affiliations. To the knowledge of the Company, there There are no affiliations or associations between (i) any member of the FINRA and (as defined hereinii) and the Company, any Subsidiary or any officers or directors of the Company’s officers Company or directorsany Subsidiary, except as described set forth in the Registration Statement, the Time of Sale Information Disclosure Package and the Prospectus.
Appears in 1 contract
Samples: Placement Agency Agreement (Dakota Plains Holdings, Inc.)
FINRA Affiliations. To the knowledge of the Company's knowledge, there are no affiliations or associations between any member of FINRA (as defined herein) and any of the Company’s officers 's officers, directors or directors5% or greater security holders, except as described set forth in the Registration Statement, the Time of Sale Information and General Disclosure Package or the Final Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (XOMA Corp)
FINRA Affiliations. To the knowledge Company’s or any of the CompanySubsidiaries’ knowledge, except for Resource Securities, Inc., there are no affiliations or associations between any member of FINRA (as defined herein) and any of the Company’s officers or directorsany of the Subsidiaries’ officers, except as described in the Registration Statement, the Time of Sale Information and the Prospectusdirectors or 5% or greater securityholders.
Appears in 1 contract
FINRA Affiliations. To the knowledge of the Company’s knowledge, there are no affiliations or associations between with any FINRA member of FINRA (as defined herein) and any of firm among the Company’s officers officers, directors, or directorsprincipal shareholders, except as described set forth in the Registration Statement, the Time of Sale Information Pricing Disclosure Package and the Prospectus, or as otherwise disclosed in writing to the Underwriters.
Appears in 1 contract
Samples: Underwriting Agreement (United Community Banks Inc)
FINRA Affiliations. To the knowledge of the Company’s knowledge, there are no affiliations or associations between any member of FINRA (as defined herein) and any of the Company’s officers officers, directors or directors5% or greater securityholders, except as described set forth in the Registration Statement, the Time of Sale Information General Disclosure Package and the Prospectus.
Appears in 1 contract
FINRA Affiliations. To the knowledge of the Company, there There are no affiliations or associations between (i) any member of the FINRA and (as defined hereinii) and the Company, any Subsidiary or any officers or directors of the Company’s officers Company or directorsany Subsidiary, except as described disclosed to you or as set forth in the Registration Statement, the Time of Sale Information Disclosure Package and the Prospectus.
Appears in 1 contract
FINRA Affiliations. To the knowledge of the Company’s knowledge, there are no affiliations or associations between with any FINRA member of FINRA (as defined herein) and any of firm among the Company’s officers officers, directors, or directorsprincipal shareholders, except as described set forth in the Registration Statement, the Time of Sale Information General Disclosure Package and the Prospectus, or as otherwise disclosed in writing to the Underwriters.
Appears in 1 contract
Samples: Underwriting Agreement (United Community Banks Inc)
FINRA Affiliations. To the knowledge of the Company, there There are no affiliations or associations between (i) any member of the FINRA and (as defined hereinii) and the Company or any of the Company’s officers officers, directors or directors, 5% or greater security holders except as described set forth in the Registration Statement, the Time of Sale Information Prospectus and the ProspectusDisclosure Package.
Appears in 1 contract
