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 17 contracts
Samples: Underwriting Agreement (Revance Therapeutics, Inc.), Sales Agreement (Olema Pharmaceuticals, Inc.), Sales Agreement (Vir Biotechnology, 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.), Equity Distribution Agreement (One Liberty Properties Inc), Equity Distribution Agreement (BRT Apartments Corp.)
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 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 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.), Sales Agreement (23andMe Holding Co.)
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)
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: At Market Issuance Sales Agreement (Piedmont Lithium Inc.)
