FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 254 contracts
Samples: Underwriting Agreement (Safe Pro Group Inc.), Underwriting Agreement (NovaBay Pharmaceuticals, Inc.), Underwriting Agreement (NovaBay Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of an Underwritera FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 84 contracts
Samples: Underwriting Agreement (Innovation Beverage Group LTD), Underwriting Agreement (Innovation Beverage Group LTD), Underwriting Agreement (Innovation Beverage Group LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 38 contracts
Samples: Underwriting Agreement (Farmmi, Inc.), Underwriting Agreement (Farmmi, Inc.), Underwriting Agreement (Seachange International Inc)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 22 contracts
Samples: Underwriting Agreement (ClearSign Technologies Corp), Underwriting Agreement (Cognition Therapeutics Inc), Underwriting Agreement (Immix Biopharma, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Company’s Public Securities.
Appears in 10 contracts
Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Hyperdynamics Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera Participating Member.
Appears in 8 contracts
Samples: Underwriting Agreement (CardieX LTD), Underwriting Agreement (Benitec Biopharma Inc.), Underwriting Agreement (Benitec Biopharma Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Haymaker Acquisition Corp. II), Underwriting Agreement (Haymaker Acquisition Corp. II), Underwriting Agreement (M III Acquisition Corp.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Puyi, Inc.), Underwriting Agreement (Agm Group Holdings, Inc.), Underwriting Agreement (Hexindai Inc.)
FINRA. The On or before Closing, the Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 6 contracts
Samples: Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.), Underwriting Agreement (U.S. GoldMining Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Public Securities.
Appears in 6 contracts
Samples: Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 6 contracts
Samples: Underwriting Agreement (Coeptis Therapeutics Holdings, Inc.), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.), Underwriting Agreement (Newgioco Group, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 5 contracts
Samples: Underwriting Agreement (Second Sight Medical Products Inc), Underwriting Agreement (Energous Corp), Underwriting Agreement (Ideal Power Inc.)
FINRA. The Except as disclosed in the Registration Statement and the Prospectus, the Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 5 contracts
Samples: Underwriting Agreement (Jupiter Neurosciences, Inc.), Underwriting Agreement (Jupiter Neurosciences, Inc.), Underwriting Agreement (Jupiter Neurosciences, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 4 contracts
Samples: Underwriting Agreement (BIT ORIGIN LTD), Underwriting Agreement (Meten Holding Group Ltd.), Underwriting Agreement (Greenland Technologies Holding Corp.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 4 contracts
Samples: Underwriting Agreement (iMedia Brands, Inc.), Underwriting Agreement (Bio Key International Inc), Underwriting Agreement (Bio Key International Inc)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 4 contracts
Samples: Underwriting Agreement (Tenon Medical, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.), Algernon Pharmaceuticals Inc.
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Clarus Therapeutics Holdings, Inc.), Underwriting Agreement (Clarus Therapeutics Holdings, Inc.), Underwriting Agreement (Clarus Therapeutics Holdings, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Dermata Therapeutics, Inc.), Underwriting Agreement (Dermata Therapeutics, Inc.), NeuroSense Therapeutics Ltd.
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (E-Compass Acquisition Corp.), Underwriting Agreement (E-Compass Acquisition Corp.), Underwriting Agreement (Collabrium Japan Acquisition Corp)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 3 contracts
Samples: Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (BiondVax Pharmaceuticals Ltd.), Underwriting Agreement (China SXT Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% five percent (5.0%) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 3 contracts
Samples: Underwriting Agreement (Virax Biolabs Group LTD), Underwriting Agreement (Virax Biolabs Group LTD), Underwriting Agreement (Virax Biolabs Group LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5officer, director or 10% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the consummation of the Offering.
Appears in 3 contracts
Samples: Warrant Agency Agreement (Aclarion, Inc.), Underwriting Agreement (Aclarion, Inc.), Underwriting Agreement (Aclarion, Inc.)
FINRA. The Company shall advise the Underwriters Managing Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Placement Shares.
Appears in 3 contracts
Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director or 5% or greater shareholder of the Company is or becomes an affiliate or associated person of an Underwritera FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Provectus Biopharmaceuticals, Inc.), Underwriting Agreement (Stemcells Inc)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 2 contracts
Samples: Letter Agreement (Protalex Inc), Underwriting Agreement (CYREN Ltd.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate Affiliate or associated person of an Underwriter.
Appears in 2 contracts
Samples: Underwriting Agreement (Zosano Pharma Corp), Underwriting Agreement (Salarius Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Parametric Sound Corp), Underwriting Agreement (Parametric Sound Corp)
FINRA. The Company shall advise the Underwriters Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% additional five percent or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm.
Appears in 1 contract
Samples: S&W Seed Co
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Ordinary Shares.
Appears in 1 contract
Samples: Underwriting Agreement (Wah Fu Education Group LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member firm prior to the period during which the Representative can exercise the over-allotment option.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware knows that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Securities.
Appears in 1 contract
Samples: Underwriting Agreement (MDJM LTD)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware has knowledge that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriterany FINRA member participating in the distribution of the Securities.
Appears in 1 contract
Samples: Underwriting Agreement (Imprimis Pharmaceuticals, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, or five percent (5% %) or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterFINRA member participating in the distribution of the Best Efforts Shares.
Appears in 1 contract
Samples: Underwriter Agreement (Dogness (International) Corp)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwritera FINRA member participating in the distribution of the Securities.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.a FINRA member firm.
Appears in 1 contract
Samples: Underwriting Agreement (China Xiangtai Food Co., Ltd.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an UnderwriterUnderwriter prior to the earlier of the termination of this Agreement or the 60-day period after the Effective Date.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an the Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director or 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate Affiliate or associated person Person of an Underwritera FINRA member firm.
Appears in 1 contract
FINRA. The Company and each Selling Stockholder shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
Samples: Underwriting Agreement (AquaBounty Technologies, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person Person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder of the Company or Person is or becomes an affiliate or associated person of an Underwritera FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriterthe Underwriter prior to the consummation of the Offering.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 510% or greater shareholder stockholder of the Company becomes an affiliate or associated person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person Person of an Underwriter.
Appears in 1 contract
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of an Underwriter.. 4.13
Appears in 1 contract
Samples: Yield10 Bioscience, Inc.
