FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 154 contracts
Samples: At the Market Offering Agreement (Iveda Solutions, Inc.), At the Market Offering Agreement (Bionano Genomics, Inc.), At the Market Offering Agreement (Mega Matrix Inc)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 27 contracts
Samples: At the Market Offering Agreement (Lifeward Ltd.), At the Market Offering Agreement (RedHill Biopharma Ltd.), At the Market Offering Agreement (TC BioPharm (Holdings) PLC)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Pricing Prospectus Supplement or the Prospectus.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Interactive Strength, Inc.), Securities Purchase Agreement (GRI BIO, Inc.), Securities Purchase Agreement (Interactive Strength, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 4 contracts
Samples: Sales Agreement (NewAge, Inc.), At the Market Offering Agreement (New Age Beverages Corp), At the Market Offering Agreement (New Age Beverages Corp)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Pricing Prospectus Supplement or the Prospectus.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Fenbo Holdings LTD), Securities Purchase Agreement (Fenbo Holdings LTD), Securities Purchase Agreement (Fenbo Holdings LTD)
FINRA Member Shareholders. There To the Company’s knowledge, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 3 contracts
Samples: At the Market Offering Agreement (Hancock Jaffe Laboratories, Inc.), At the Market Offering Agreement (Salarius Pharmaceuticals, Inc.), At the Market Offering Agreement (Sonoma Pharmaceuticals, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Interim Prospectus Supplement or the Prospectus.
Appears in 3 contracts
Samples: Sales Agreement (Netlist Inc), At the Market Offering Agreement (Cavico Corp), Controlled Equity Offering Agreement (Biolase Technology Inc)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the actual knowledge of the CompanyCompany without investigation, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement Statement or the Prospectus.
Appears in 3 contracts
Samples: At the Market Offering Agreement (Golden Minerals Co), At the Market Offering Agreement (Trinity Place Holdings Inc.), At the Market Offering Agreement (Ocean Power Technologies, Inc.)
FINRA Member Shareholders. There Except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Bridgeline Digital, Inc.), At the Market Offering Agreement (Air Industries Group)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the actual knowledge of the CompanyCompany without investigation, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Transgenomic Inc), At the Market Offering Agreement (Eyegate Pharmaceuticals Inc)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, the ATM Prospectus, the Prospectus or any Prospectus Supplement or the ProspectusSupplement.
Appears in 2 contracts
Samples: At the Market Offering Agreement (LQR House Inc.), At the Market Offering Agreement (T2 Biosystems, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder of the Company, except as set forth in or incorporated by reference into the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Stronghold Digital Mining, Inc.), At the Market Offering Agreement (Stronghold Digital Mining, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Performance Shipping Inc.), At the Market Offering Agreement (India Globalization Capital, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 2 contracts
Samples: Sales Agreement (ImmunoPrecise Antibodies Ltd.), Open Market Sale Agreement (ImmunoPrecise Antibodies Ltd.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth disclosed in the Registration Statement, the Base Prospectus, any Prospectus Supplement Supplement, the Prospectus or the ProspectusIncorporated Documents.
Appears in 2 contracts
Samples: At the Market Offering Agreement (NovaBay Pharmaceuticals, Inc.), At the Market Offering Agreement (NovaBay Pharmaceuticals, Inc.)
FINRA Member Shareholders. There To the Company’s knowledge, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement Statement or the Prospectus.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Windtree Therapeutics Inc /De/), At the Market Offering Agreement (Windtree Therapeutics Inc /De/)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base ProspectusProspectuses, any Prospectus Supplement Supplements or the ProspectusProspectuses.
Appears in 1 contract
Samples: At the Market Offering Agreement (Northern Dynasty Minerals LTD)
FINRA Member Shareholders. There To the Company’s knowledge, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement Statement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (Intelligent Bio Solutions Inc.)
FINRA Member Shareholders. There are no affiliations No officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member firm among (as determined in accordance with the Company’s officers, directors or, to the knowledge rules and regulations of the Company, any five percent (5%FINRA) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base ProspectusProspectuses, any Prospectus Supplement Supplements or the ProspectusProspectuses.
Appears in 1 contract
Samples: At the Market Offering Agreement (ImmunoPrecise Antibodies Ltd.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth disclosed in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (General Moly, Inc)
FINRA Member Shareholders. There Except as set forth on Schedule 3(nn), there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, or any Prospectus Supplement or the ProspectusSupplement.
Appears in 1 contract
Samples: At the Market Offering Agreement (Immucell Corp /De/)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, or any Prospectus Supplement or the ProspectusSupplement.
Appears in 1 contract
Samples: At the Market Offering Agreement (Iterum Therapeutics PLC)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus..
Appears in 1 contract
Samples: At the Market Offering Agreement (ProMIS Neurosciences Inc.)
FINRA Member Shareholders. There To the Company’s Knowledge, there are no affiliations with any FINRA member firm from among the Company’s officers, directors ordirectors, to the knowledge of the Company, or any five ten percent (510%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectusshareholder.
Appears in 1 contract
Samples: Securities Purchase Agreement (REE Automotive Ltd.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the ProspectusSEC Reports.
Appears in 1 contract
Samples: At the Market Offering Agreement (Outlook Therapeutics, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the ProspectusSEC Reports.
Appears in 1 contract
Samples: At the Market Offering Agreement (Psyence Biomedical Ltd.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Trustees, the Company’s officers, directors or, to the knowledge of the CompanyCompany or the Trust, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the ProspectusProspectus (including the Incorporated Documents).
Appears in 1 contract
Samples: At the Market Offering Agreement (ThermoGenesis Holdings, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except Puissance Cross-Border Opportunities II LLC and its Affiliates or as otherwise set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (Ekso Bionics Holdings, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s executive officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder of the Company, except as set forth in the Registration Statement, Statement and the Base Prospectus, any Prospectus Supplement or the ProspectusProspectuses.
Appears in 1 contract
Samples: At the Market Offering Agreement (Hut 8 Mining Corp.)
FINRA Member Shareholders. There To the knowledge of the Company, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, or any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (MGT Capital Investments Inc)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There Except for Xxxx Xxxxxxx, there are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Trustees, the Company’s officers, directors or, to the knowledge of the CompanyCompany or the Trust, any five percent (5%) or greater stockholder of the Company, other than Director Txxxxx Xxxxxxx and except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement Supplement, the Prospectus or the ProspectusSEC Reports.
Appears in 1 contract
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement Statement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (Ocean Power Technologies, Inc.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officers, directors or, to the knowledge of the Company, any five ten percent (510%) or greater stockholder shareholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement the Prospectus or in the ProspectusSEC Reports.
Appears in 1 contract
Samples: At the Market Offering Agreement (REE Automotive Ltd.)
FINRA Member Shareholders. There are no affiliations with any FINRA member firm among the Company’s officersofficers or directors, directors based on information provided to the Company thereby, or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Prospectus Supplement or the Prospectus.
Appears in 1 contract
Samples: At the Market Offering Agreement (Neuralstem, Inc.)
