FINRA Exemption. The Company qualifies as an “experienced issuer” (within the meaning of FINRA Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 16 contracts
Samples: Underwriting Agreement (Revance Therapeutics, Inc.), Sales Agreement (Vir Biotechnology, Inc.), Sales Agreement (AVITA Medical, Inc.)
FINRA Exemption. The Company qualifies as an satisfies the “experienced issuer” (within the meaning of requirements pursuant to FINRA Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 4 contracts
Samples: Common Stock Sales Agreement (Jounce Therapeutics, Inc.), Common Stock (BRT Apartments Corp.), One Liberty Properties Inc
FINRA Exemption. The Company qualifies as an meets the definition of the term “experienced issuer” (within the meaning of specified in FINRA Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 3 contracts
Samples: Sales Agreement (Nautilus Biotechnology, Inc.), Sales Agreement (Nautilus Biotechnology, Inc.), Sales Agreement (Aadi Bioscience, Inc.)
FINRA Exemption. The As of the date hereof, the Company qualifies as an “experienced issuer” (within the meaning of FINRA Conduct the Financial Industry Regulatory Authority (“FINRA”) Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 2 contracts
Samples: Underwriting Agreement (Alector, Inc.), Sales Agreement (Alector, Inc.)
FINRA Exemption. The Company qualifies as an “experienced issuerissue” (within the meaning of FINRA Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 2 contracts
Samples: Sales Agreement (22nd Century Group, Inc.), Common Stock (23andMe Holding Co.)
FINRA Exemption. The Company qualifies as an “experienced issuer” (within the meaning of FINRA Financial Industry Regulatory Authority (“FINRA”) Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 2 contracts
Samples: Sales Agreement (Olema Pharmaceuticals, Inc.), Sales Agreement (Olema Pharmaceuticals, Inc.)
FINRA Exemption. The As of the date of this Agreement, the Company qualifies as an “experienced issuer” (within the meaning of FINRA Conduct Rule 5110(j)(6)) for purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 1 contract
Samples: Piedmont Lithium Inc.
FINRA Exemption. The Company qualifies as an “experienced issuer” (within the meaning of FINRA Conduct Rule 5110(j)(6)) for the purposes of the exemption from filing under FINRA Conduct Rule 5110(h)(1)(C).
Appears in 1 contract
Samples: Sales Agreement (Brightcove Inc)
