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 a 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 Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company’s securities or Person that received (iii) any beneficial owner of the Company’s unregistered equity securities in which were acquired during the past 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 44 contracts
Samples: Underwriting Agreement (Polyrizon Ltd.), Underwriting Agreement (Polyrizon Ltd.), Underwriting Agreement (Polyrizon Ltd.)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company's securities or Person that received (iii) any beneficial owner of the Company’s 's unregistered equity securities in which were acquired during the past 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 27 contracts
Samples: Underwriting Agreement (E-Home Household Service Holdings LTD), Underwriting Agreement (E-Home Household Service Holdings LTD), Underwriting Agreement (Leaping Group Co., Ltd.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% or greater shareholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 days prior to the initial filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offeringan Underwriter.
Appears in 12 contracts
Samples: Underwriting Agreement (Healthy Choice Wellness Corp.), Underwriting Agreement (Healthy Choice Wellness Corp.), Underwriting Agreement (Key Mining Corp.)
FINRA. The Company shall advise the Underwriters Underwriter (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 a an FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of participating in the distribution of the OfferingCompany’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 Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company’s securities or Person that received (iii) any beneficial owner of the Company’s unregistered equity securities in which were acquired during the past 180 days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 8 contracts
Samples: Underwriting Agreement (Maison Solutions Inc.), Underwriting Agreement (Maison Solutions Inc.), Underwriting Agreement (Oranco Inc)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder stockholder 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of participating in the distribution of the OfferingPublic 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 (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 7 contracts
Samples: Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc), Underwriting Agreement (Biolase, Inc)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5% or greater shareholder stockholder 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 a an FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of participating in the distribution of the OfferingPublic 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 Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company's securities or Person that received (iii) any beneficial owner of the Company’s 's unregistered equity securities in which were acquired during the past 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 6 contracts
Samples: Underwriting Agreement (Muliang Viagoo Technology, Inc.), Underwriting Agreement (Leaping Group Co., Ltd.), Underwriting Agreement (Muliang Viagoo Technology, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% or greater shareholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 one hundred eighty (180) days is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 6 contracts
Samples: Underwriting Agreement (Lafayette Energy Corp.), Underwriting Agreement (Lafayette Energy Corp.), Underwriting Agreement (Lafayette Energy 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 stockholder 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 6 contracts
Samples: Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (Paltalk, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% or greater shareholder stockholder 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 5 contracts
Samples: Underwriting Agreement (SeqLL, Inc.), Underwriting Agreement (Elate Group, Inc.), Underwriting Agreement (Elate Group, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of 60-day period after the distribution of the OfferingEffective Date.
Appears in 5 contracts
Samples: Underwriting Agreement (Imperial Petroleum Inc./Marshall Islands), Underwriting Agreement (Imperial Petroleum Inc./Marshall Islands), Underwriting Agreement (Imperial Petroleum Inc./Marshall Islands)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company’s securities or Person that received (iii) any beneficial owner of the Company’s unregistered equity securities in which were acquired during the past 180 days immediately preceding the original filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 4 contracts
Samples: Underwriting Agreement (Green Circle Decarbonize Technology LTD), Underwriting Agreement (Green Circle Decarbonize Technology LTD), Underwriting Agreement (Wunong Net Technology Co LTD)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, five percent (5% %) or greater shareholder stockholder 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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Sekur Private Data Ltd.), Underwriting Agreement (mCloud Technologies Corp.), Underwriting Agreement (Marygold Companies, 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 Affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Toughbuilt Industries, Inc), Underwriting Agreement (Toughbuilt Industries, Inc), Underwriting Agreement (Toughbuilt Industries, Inc)
FINRA. The Company shall advise the Underwriters Underwriter (who shall make an appropriate filing with FINRA) if it is or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company’s securities or Person that received (iii) any beneficial owner of the Company’s unregistered equity securities in which were acquired during the past 180 one hundred and eighty (180) days immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Rectitude Holdings Ltd.), Underwriting Agreement (Rectitude Holdings Ltd.), Underwriting Agreement (Rectitude Holdings Ltd.)
FINRA. The Company shall advise the Underwriters Underwriter (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 a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of participating in the distribution of the OfferingPublic 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 or becomes aware that (i) any officerofficer or director of the Company, director, (ii) any beneficial owner of 5% or greater shareholder more of any class of the Company Company’s securities, or Person that received (iii) any beneficial owner of the Company’s unregistered equity securities in which were acquired during the past 180 days 180-day period immediately preceding the filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to participating in the earlier Offering (as determined in accordance with the rules and regulations of the termination of this Agreement or the conclusion of the distribution of the OfferingFINRA).
Appears in 3 contracts
Samples: Underwriting Agreement (Myomo Inc), Underwriting Agreement (Workhorse Group Inc.), Underwriting Agreement (RumbleON, 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 stockholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 one hundred eighty (180) days is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (T1V, Inc.), Underwriting Agreement (T1V, Inc.), Underwriting Agreement (T1V, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% or greater shareholder stockholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 days prior to the initial filing of the Registration is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offeringan Underwriter.
Appears in 2 contracts
Samples: Underwriting Agreement (Auddia Inc.), Underwriting Agreement (Clip Interactive, LLC)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, director or 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 a 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 (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 one hundred eighty (180) days is or becomes an affiliate or associated person of a 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 (Inspire Veterinary Partners, Inc.), Underwriting Agreement (Inspire Veterinary Partners, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 5director 10% or greater shareholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 days prior to the initial filing of the Registration Statement is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of the distribution of the Offeringan Underwriter.
Appears in 2 contracts
Samples: Underwriting Agreement (Nexgel, Inc.), Underwriting Agreement (Nexgel, Inc.)
FINRA. The Company shall advise the Underwriters (who shall make an appropriate filing with FINRA) if it is aware that any officer, director, 510% or greater shareholder of the Company or Person that received the Company’s unregistered equity securities in the past 180 days prior to the initial filing of the Registration Statement is or becomes an affiliate or associated person of a 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 (Titan Pharmaceuticals Inc), Underwriting Agreement (Titan Pharmaceuticals Inc)
FINRA. The Company shall advise the Underwriters Underwriter (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 a an FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of participating in the distribution of the OfferingPublic 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 officer, director, 510% or greater shareholder of the Company or Person that received the Company’s 's unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of a FINRA member firm prior to the earlier of the termination of this Agreement or the conclusion of 60-day period after the distribution of the OfferingEffective Date.
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 that received the Company’s unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of a 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
Samples: Underwriting Agreement (Drone Aviation 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, five percent (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 a 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 (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 a 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 (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 's unregistered equity securities in the past 180 days is or becomes an affiliate or associated person of a 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
