FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 184 contracts
Samples: Underwriting Agreement (Mars Acquisition Corp.), Underwriting Agreement (Mars Acquisition Corp.), Underwriting Agreement (Alphatime Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 63 contracts
Samples: Underwriting Agreement (Aquaron Acquisition Corp.), Underwriting Agreement (Qomolangma Acquisition Corp.), Underwriting Agreement (Aquaron Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 43 contracts
Samples: Underwriting Agreement (ASPAC III Acquisition Corp.), Underwriting Agreement (ASPAC III Acquisition Corp.), Underwriting Agreement (SPAC III Acquisition Corp.)
FINRA. The Company shall advise FINRA the 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 a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 39 contracts
Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (Selway Capital Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 20 contracts
Samples: Underwriting Agreement (Infinity Cross Border Acquisition Corp), Underwriting Agreement (Infinity Cross Border Acquisition Corp), Underwriting Agreement (Infinity Cross Border Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 9 contracts
Samples: Underwriting Agreement (New Asia Partners China I Corp), Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China CORP)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating Participating Member in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Oxbridge Acquisition Corp.), Underwriting Agreement (Oxbridge Acquisition Corp.), Underwriting Agreement (OceanTech Acquisitions I Corp.)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Asia Special Situation Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (S.E. Asia Emerging Market Company., LTD)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities, except as may be disclosed in the Registration Statement, Statutory Prospectus and Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp II), Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp II), Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp II)
FINRA. The Company shall advise FINRA the Selling Agent (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 a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 5 contracts
Samples: Selling Agent Agreement (Alliance MMA, Inc.), Selling Agent Agreement (McGraw Conglomerate Corp), Selling Agent Agreement (Long Island Iced Tea Corp.)
FINRA. The Company shall advise FINRA the Representatives (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 a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Peak Resorts Inc)
FINRA. The Company shall advise the Representative and FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II)
FINRA. The Company shall advise FINRA the Representative if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Andina Acquisition Corp), Underwriting Agreement (Andina Acquisition Corp), Underwriting Agreement (Andina Acquisition Corp)
FINRA. The Company shall advise FINRA the 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 a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Prime Acquisition Corp), Underwriting Agreement (Prime Acquisition Corp), Underwriting Agreement (Prime Acquisition Corp)
FINRA. The Company shall promptly advise FINRA the Representatives if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesUnits, so that the Representatives may, if so required, provide such documentation to FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.)
FINRA. The Company shall advise FINRA the 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 a an FINRA member participating in the distribution of the Company’s Public SecuritiesShares.
Appears in 2 contracts
Samples: Underwriting Agreement (Southern China Livestock, Inc.), Underwriting Agreement (China Intelligent Lighting & Electronics, Inc.)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (BBV Vietnam S.E.A. Acquisition Corp.), Underwriting Agreement (BBV Vietnam S.E.A. Acquisition Corp.)
FINRA. The Company shall advise FINRA the Representative (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 a FINRA member participating in the distribution of the Company’s Public SecuritiesParticipating Member.
Appears in 2 contracts
Samples: Underwriting Agreement (Tribe Capital Growth Corp I), Underwriting Agreement (Tribe Capital Growth Corp I)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) and the QIU if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Pulse Biosciences, Inc.), Underwriting Agreement (Pulse Biosciences, Inc.)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating Participating Member in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (OceanTech Acquisitions I Corp.), Underwriting Agreement (OceanTech Acquisitions I Corp.)
FINRA. The Company shall advise FINRA the Representatives (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company (other than Xxxxxxx X. Xxxxxxxxx) becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Ventrus Biosciences Inc), Underwriting Agreement (Ventrus Biosciences Inc)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) and the QIU if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesShares.
Appears in 1 contract
FINRA. The Company shall promptly advise FINRA the Representative if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesUnits, so that the Representative may, if so required, provide such documentation to FINRA.
Appears in 1 contract
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.. _________ __, 2008
Appears in 1 contract
Samples: Underwriting Agreement (Korea Milestone Acquisition CORP)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s 's Public Securities.
Appears in 1 contract
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.. 27787721v.1
Appears in 1 contract
Samples: Underwriting Agreement (Achari Ventures Holdings Corp. I)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s 's Public Securities.
Appears in 1 contract
FINRA. The Company shall advise FINRA the Representative if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 1 contract
Samples: Underwriting Agreement (Hf2 Financial Management Inc.)
