Common use of Information; Confidentiality Clause in Contracts

Information; Confidentiality. So long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stock, the Company shall deliver to the Holder such information as the Holder may reasonably request for purposes of the Holder’s compliance with regulatory, accounting and reporting requirements applicable to the Holder. Until such time as the Company becomes a reporting company under the Securities Exchange Act of 1934, as amended, so long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stock: (a) the Company shall deliver to the Holder within 45 days after the end of each of the first three quarters of each fiscal year, the Company’s quarterly, unaudited financial statements and within 180 days after the end of each fiscal year, the Company’s annual, audited financial statements and (b) in the event of an equity financing transaction by the Company, the Company shall deliver to the Holder notice of such equity financing, together with a copy of all materials delivered to the offerees and purchasers thereunder in connection with such transaction, including capitalization tables and information relating to the valuation of the Company. The Holder agrees to keep confidential all information, materials, notes, documents and copies concerning the business of the Company provided in accordance with the terms of this Warrant or to the Holder as a result of the Holder’s status as a stockholder of the Company upon exercise of the Warrant (the “Information”). Notwithstanding the foregoing, the Holder shall be permitted to disclose Information (i) to its officers, managers, members, partners, directors, employees, affiliates, agents and representatives and the officers, managers, members, partners, directors, employees, agents and representatives of its affiliates (collectively “Representatives”), provided that such Information shall remain confidential and the recipient shall be bound by an obligation of confidentiality (imposed by professional ethics rules or otherwise) with respect to the Information; (ii) to the extent required by applicable laws and regulations or by any subpoena or similar legal process, or to the extent requested by any governmental agency or regulatory authority, after notice to the Company to the extent the Holder may provide such notice without breach of applicable law, rule, regulations or order; (iii) to the extent such Information (A) becomes publicly available other than as a result of a breach of this Section 15, (B) becomes available to the Holder or its Representatives from a source other than the Company not known to be under an obligation of confidentiality to the Company with respect to such information or (C) was available to the Holder or its Representatives prior to its disclosure to the Holder by the Company; (iv) to the extent the Company shall have consented to such disclosure in writing; (v) in connection with the assignment of this Warrant provided that the recipient of the Information agrees to maintain the confidentiality of the Information; or (vi) in connection with the exercise of its rights and remedies under this Warrant. The Holder shall not use the Information in violation of United States federal securities laws. The provisions of this Section 15 shall survive the termination, expiration or exercise of this Warrant.

Appears in 2 contracts

Samples: Registration Rights Agreement (Genocea Biosciences, Inc.), Registration Rights Agreement (Genocea Biosciences, Inc.)

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Information; Confidentiality. So long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common StockFrom and after such time, if any, when the Company shall deliver ceases to the Holder such information as the Holder may reasonably request for purposes of the Holder’s compliance with regulatory, accounting and reporting requirements applicable to the Holder. Until such time as the Company becomes be a public reporting company under the Securities Exchange Act of 1934, as amended, so long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stock: (a) the Company shall deliver to the Holder within 45 days after the end of each of the first three quarters of each fiscal year, the Company’s quarterly, unaudited financial statements and within 180 days after the end of each fiscal year, the Company’s annual, audited financial statements and (b) in the event of an equity financing transaction by the CompanyAct, the Company shall deliver provide to the Holder notice of each Subscriber, for so long as such equity financing, together with Subscriber is a copy of all materials delivered to the offerees and purchasers thereunder in connection with such transaction, including capitalization tables and information relating to the valuation shareholder of the Company. The Holder agrees to keep confidential all information, materials, notes, documents and copies concerning quarterly financial reports within 45 days following the business end of the Company applicable fiscal quarter (or, if shorter, within such shorter period that such reports are provided in accordance with the terms of this Warrant or to the Holder as a result Company’s lenders pursuant to the Credit Agreement), annual financial reports within 120 days following the end of the Holderapplicable fiscal year (or, if shorter, within such shorter period that such reports are provided to the Company’s status lenders pursuant to the Credit Agreement) and management discussion and analysis or similar reports (at the same time that such reports are provided to the Company’s lenders pursuant to the Credit Agreement), in each case in the same form provided to the Company’s lenders as a stockholder of required by the Company upon exercise of the Warrant (the “Information”). Notwithstanding Credit Agreement; provided, that notwithstanding the foregoing, the Holder Company shall have no obligation to deliver any such information to the extent such information is not required to be permitted delivered to the Company’s lenders pursuant to the Credit Agreement. Without limiting any of Subscriber’s pre-existing confidentiality obligations, Subscriber shall not, for a period of six (6) months following the date hereof, without the Company’s prior written consent, disclose Information to any other person or entity the nature, extent or fact that Subscriber is entering this Agreement or the terms and conditions hereof, or any information Subscriber may receive in connection with this Agreement (iin each case to the extent the Company has communicated the confidentiality thereof) other than (a) pursuant to its officersthe order of any court or administrative agency or in any pending legal or administrative proceeding, managersor otherwise as required by applicable law or compulsory legal process (in which case Subscriber agrees, membersto the extent practicable and not prohibited by applicable Law, partners, directors, employees, affiliates, agents and representatives and to inform the officers, managers, members, partners, directors, employees, agents and representatives of its affiliates (collectively “Representatives”Company promptly thereof prior to such disclosure), provided that such Information shall remain confidential and (b) upon the recipient shall be bound by an obligation request or demand of confidentiality any regulatory authority having jurisdiction over Subscriber, (imposed by professional ethics rules or otherwise) with respect to the Information; (iic) to the extent required by applicable laws and regulations that such information is or by any subpoena or similar legal process, or to the extent requested by any governmental agency or regulatory authority, after notice to the Company to the extent the Holder may provide such notice without breach of applicable law, rule, regulations or order; (iii) to the extent such Information (A) becomes publicly available other than by reason of disclosure by Subscriber in violation of this Agreement, or (d) to Subscriber’s Affiliates and to Subscriber’s and its Affiliates’ employees, legal counsel, independent auditors and other agents (collectively “representatives”) who need to know such information and who are informed of the confidential nature of such information and are or have been advised of their obligation to keep information of this type confidential. Subscriber will cause all of its and its Affiliate’s representatives to comply with the confidentiality provisions of this Agreement as fully as if they were a result of party hereto and will be responsible for a breach of this Section 15, (B) becomes available to the Holder or its Representatives from a source other than the Company not known to be under an obligation of confidentiality to the Company with respect to such information or (C) was available to the Holder or its Representatives prior to its disclosure to the Holder by the Company; (iv) to the extent the Company shall have consented to such disclosure in writing; (v) in connection with the assignment of this Warrant provided that the recipient of the Information agrees to maintain the confidentiality of the Information; or (vi) in connection with the exercise of its rights and remedies under this Warrant. The Holder shall not use the Information in violation of United States federal securities laws. The provisions of this Section 15 shall survive the termination, expiration or exercise of this WarrantAgreement by any such representatives.

Appears in 2 contracts

Samples: Subscription Agreement (Coliseum Capital Management, LLC), Subscription Agreement (Hennessy Capital Acquisition Corp.)

Information; Confidentiality. So long as During the Holder holds term of this Warrant and/or any of the shares of Preferred Stock or Common StockAgreement, the Company shall deliver agrees to the Holder such cooperate with Mxxxx and to furnish, or cause to be furnished, to Maxim, any and all information as the Holder may reasonably request for purposes of the Holder’s compliance with regulatory, accounting and reporting requirements applicable to the Holder. Until such time as data concerning the Company becomes and a reporting company under the Securities Exchange Act of 1934, as amended, so long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stock: (a) the Company shall deliver to the Holder within 45 days after the end of each of the first three quarters of each fiscal year, the Company’s quarterly, unaudited financial statements and within 180 days after the end of each fiscal year, the Company’s annual, audited financial statements and (b) in the event of an equity financing transaction by the Company, the Company shall deliver to the Holder notice of such equity financing, together with a copy of all materials delivered to the offerees and purchasers thereunder Transaction that Maxim deems appropriate in connection with such transaction, including capitalization tables and information relating to the valuation rendering of the Companyits services hereunder. The Holder Company agrees to keep confidential all information, materials, notes, documents and copies concerning the business of the Company provided in accordance with the terms of this Warrant that any information or to the Holder as a result of the Holder’s status as a stockholder of the Company upon exercise of the Warrant (the “Information”). Notwithstanding the foregoing, the Holder shall be permitted to disclose Information (i) to advice rendered by Maxim or its or its officers, managers, members, partners, directors, employees, affiliates, agents and representatives and the officers, managers, members, partners, directors, employees, agents and representatives of its affiliates (collectively “Representatives”), provided that such Information shall remain ) in connection with its engagement hereunder is solely for the Company’s confidential and the recipient shall be bound by an obligation use in connection with its evaluation of confidentiality (imposed by professional ethics rules or otherwise) with respect to the Information; (ii) to the extent a Transaction. Except as otherwise required by applicable laws and regulations law, rule, regulation, or by any subpoena judicial or similar legal administrative process, or to the extent requested by any governmental agency or regulatory authority, after notice to the Company will not, and will not permit any third party to, disclose or otherwise refer to such advice or information without Mxxxx’s prior written consent. Except as contemplated by the extent the Holder may provide such notice without breach of terms hereof or as required by applicable law, rule, regulations regulation or orderjudicial or administrative process, Maxim and its Representatives shall keep confidential all non-public information (“Information”) provided to it by or on behalf of the Company (including, without limitation, Information relating to the Transaction and Information regarding the Target). For purposes of this paragraph, the term Information shall not include information that: (a) is, at the time of disclosure, or subsequently enters the public domain without a breach by Maxim of any obligation owed to the Company; (iiib) became known to Maxim prior to the extent Company’s disclosure of such Information to Maxim; (Ac) becomes publicly available other than as a result of a breach of this Section 15, (B) becomes available became known to the Holder or its Representatives Maxim from a source other than the Company not known to be under Company, and other than by the breach of an obligation of confidentiality owed to the Company with respect to such information or (C) was available to the Holder or its Representatives prior to its disclosure to the Holder by the Company; or (ivd) to the extent is disclosed by the Company shall have consented to such disclosure in writing; a third party without restrictions on its disclosure. The Company and Maxim acknowledge and agree that this Agreement and the terms of this Agreement are confidential and except as required by law (v) including, without limitation, any proxy statement or similar filing with the SEC in connection with the assignment Transaction) will not be disclosed to anyone other than the officers, employees and directors of the Company and Maxim and their respective accountants and legal counsel. Mxxxx acknowledges that the confidentiality provisions of this Warrant provided Agreement shall be deemed to be an agreement to keep the Information in confidence as contemplated by Regulation FD promulgated by the Securities and Exchange Commission. In addition, Mxxxx acknowledges and agrees that the recipient some of the Information agrees to maintain the confidentiality may be considered “material non-public information” for purposes of the federal securities laws (“Insider Information; or (vi) and that Maxim and its Representatives will abide by all securities laws relating to the handling of and acting upon Insider Information related to the Company and the Target. Further, Mxxxx shall comply with all securities laws and regulations,, including, without limitation, Regulation M, in connection with the exercise performance of its rights and remedies under this Warrantduties hereunder. The Holder shall not use the Information in violation Members NASD & SIPC 400 Xxxxxxxxx Xxx. * New York, NY 10174 * tel (000) 000-0000 * (000) 000-0000 * fax (000) 000-0000 * wxx.xxxxxxxx.xxx New York, NY * Woodbury, NY * Chicago, IL* Red Bank, NJ * Baltimore, MD Healthcare Acquisition Corp. January 8, 2007 Page 4 of United States federal securities laws. The provisions of this Section 15 shall survive the termination, expiration or exercise of this Warrant.9

Appears in 1 contract

Samples: Healthcare Acquisition Corp

Information; Confidentiality. So long as Purchaser represents that it has received (or otherwise had made available to it by the Holder holds this Warrant and/or any filing by the Company of an electronic version thereof with the SEC on or prior to the date hereof) the Base Prospectus, dated March 27, 2019, which is a part of the shares of Preferred Stock or Common StockRegistration Statement, the Company shall deliver documents incorporated by reference therein and any free writing prospectus, prior to or in connection with the receipt of this Agreement. Purchaser acknowledges that, prior to the Holder such information as the Holder may reasonably request for purposes delivery of the Holder’s compliance with regulatory, accounting and reporting requirements applicable this Agreement to the HolderCompany, Purchaser will receive certain additional information regarding the offering, including pricing information which shall be consistent with the terms set forth herein. Until such time as the Company becomes a reporting company Such information may be provided to Purchaser by any means permitted under the Securities Exchange Act of 1934Act, as amendedincluding the Prospectus, so long as the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stock: (a) the Company a free writing prospectus and oral communications, but all such information shall deliver be provided prior to the Holder within 45 days after execution of this Agreement by Purchaser and shall be consistent with the end of each of the first three quarters of each fiscal yearterms set forth herein. Purchaser and its advisors, the Company’s quarterlyif any, unaudited financial statements and within 180 days after the end of each fiscal year, the Company’s annual, audited financial statements and (b) in the event of an equity financing transaction by the Company, the Company shall deliver to the Holder notice of such equity financing, together have been furnished with a copy of all publicly available materials delivered to the offerees and purchasers thereunder in connection with such transaction, including capitalization tables and information relating to the valuation business, finances and operations of the Company and such other publicly available materials relating to the offer and sale of the Shares as have been requested by Purchaser. Purchaser and its advisors, if any, have been afforded the opportunity to ask questions of the Company. The Holder agrees Neither such inquiries nor any other due diligence investigations conducted by Purchaser or its advisors, if any, or its representatives shall modify, amend or affect such Purchaser’s right to keep confidential all information, materials, notes, documents rely on the Company’s representations and copies concerning warranties contained herein. Purchaser understands that its investment in the Shares involves a high degree of risk. Purchaser is able to bear the economic risk of an investment in the Shares including a total loss and has such knowledge and experience in financial and business matters that it is capable of evaluating the merits and risks of the Company provided proposed investment in accordance the Shares. Purchaser has sought such accounting, legal and tax advice as it has considered necessary to make an informed investment decision with respect to its acquisition of the terms of Shares. Other than to other persons party to this Warrant Agreement or to the Holder as a result of the Holdersuch Purchaser’s status as a stockholder of the Company upon exercise of the Warrant (the “Information”). Notwithstanding the foregoingrepresentatives, the Holder shall be permitted to disclose Information (i) to including, without limitation, its officers, managers, membersdirectors, partners, directors, employees, affiliates, agents legal and representatives and the officers, managers, members, partners, directorsother advisors, employees, agents and representatives affiliates, such Purchaser has maintained the confidentiality of its affiliates (collectively “Representatives”), provided that such Information shall remain confidential and the recipient shall be bound by an obligation of confidentiality (imposed by professional ethics rules or otherwise) with respect all disclosures made to the Information; (ii) to the extent required by applicable laws and regulations or by any subpoena or similar legal process, or to the extent requested by any governmental agency or regulatory authority, after notice to the Company to the extent the Holder may provide such notice without breach of applicable law, rule, regulations or order; (iii) to the extent such Information (A) becomes publicly available other than as a result of a breach of this Section 15, (B) becomes available to the Holder or its Representatives from a source other than the Company not known to be under an obligation of confidentiality to the Company with respect to such information or (C) was available to the Holder or its Representatives prior to its disclosure to the Holder by the Company; (iv) to the extent the Company shall have consented to such disclosure in writing; (v) it in connection with this transaction (including the assignment existence and terms of this Warrant provided that the recipient of the Information agrees to maintain the confidentiality of the Information; or (vi) in connection with the exercise of its rights and remedies under this Warrant. The Holder shall not use the Information in violation of United States federal securities laws. The provisions of this Section 15 shall survive the termination, expiration or exercise of this Warranttransaction).

Appears in 1 contract

Samples: Securities Purchase Agreement (Zosano Pharma Corp)

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Information; Confidentiality. So long as (a) From and after the Holder holds this Warrant and/or any of the shares of Preferred Stock or Common Stockdate hereof, the Company shall deliver not, and shall cause each of its Subsidiaries and its and each of their respective officers, directors and employees to not, and shall direct and use commercially reasonable efforts to cause its attorneys, representatives and agents to not, provide any Investor or their Affiliates (excluding the Series B Director serving on the Board of Directors of the Company) with any material non-public information under U.S. federal securities laws regarding the Company or any of its Subsidiaries if not specifically requested by such Investor or without the express prior consent of such Investor; provided that the Company shall have the ability to cure any inadvertent disclosure of material non-public information prohibited by this Section 4.8(a) by promptly making a public disclosure thereof and that a Disclosure Update made in connection with an Option Share Purchase Closing shall not be a violation of this Section 4.8(a) even if it may be deemed to contain material non-public information. (b) Until the date that is six months following the Voting Right Expiration Date, the Investors shall, and shall cause their respective Affiliates and Representatives who actually receive Confidential Information to, keep confidential any information (including oral, written and electronic information) concerning the Company, its Subsidiaries or its Affiliates that may be furnished to the Holder such information as Investor, its Affiliates or its or their respective Representatives by or on behalf of the Holder may reasonably request Company or any of its Representatives pursuant to this Agreement or in connection with the transactions contemplated hereby (“Confidential Information”) and to use the Confidential Information solely for the purposes of monitoring, administering or managing the Holder’s compliance with regulatory, accounting and reporting requirements applicable to the Holder. Until such time as Investors’ investment in the Company becomes a reporting company under the Securities Exchange Act of 1934, as amended, so long as the Holder holds made pursuant to this Warrant and/or any of the shares of Preferred Stock or Common Stock: Agreement; provided that Confidential Information will not include information that (a) the Company shall deliver was or becomes available to the Holder within 45 days after the end of each of the first three quarters of each fiscal year, the Company’s quarterly, unaudited financial statements and within 180 days after the end of each fiscal year, the Company’s annual, audited financial statements and (b) in the event of an equity financing transaction by the Company, the Company shall deliver to the Holder notice of such equity financing, together with a copy of all materials delivered to the offerees and purchasers thereunder in connection with such transaction, including capitalization tables and information relating to the valuation of the Company. The Holder agrees to keep confidential all information, materials, notes, documents and copies concerning the business of the Company provided in accordance with the terms of this Warrant or to the Holder as a result of the Holder’s status as a stockholder of the Company upon exercise of the Warrant (the “Information”). Notwithstanding the foregoing, the Holder shall be permitted to disclose Information (i) to its officers, managers, members, partners, directors, employees, affiliates, agents and representatives and the officers, managers, members, partners, directors, employees, agents and representatives of its affiliates (collectively “Representatives”), provided that such Information shall remain confidential and the recipient shall be bound by an obligation of confidentiality (imposed by professional ethics rules or otherwise) with respect to the Information; (ii) to the extent required by applicable laws and regulations or by any subpoena or similar legal process, or to the extent requested by any governmental agency or regulatory authority, after notice to the Company to the extent the Holder may provide such notice without breach of applicable law, rule, regulations or order; (iii) to the extent such Information (A) becomes publicly available public other than as a result of a breach of any confidentiality obligation in this Section 15Agreement by an Investor or its Affiliates or their respective Representatives, (Bb) was or becomes available to the Holder an Investor or its Affiliates or their respective Representatives from a source other than the Company or its Representatives; provided that such source is reasonably believed by such Investor or such Affiliates not known to be under subject to an obligation of confidentiality to (whether by agreement or otherwise), (c) at the time of disclosure is already in the possession of an Investor or its Affiliates or their respective Representatives from a source other than the Company with respect to such information or (C) was available to the Holder or its Representatives prior to its disclosure to the Holder by the Company; (iv) to the extent the Company shall have consented to such disclosure in writing; (v) in connection with the assignment of this Warrant provided that the recipient of the Information agrees to maintain the confidentiality of the Information; or (vi) in connection with the exercise any of its rights and remedies under this Warrant. The Holder shall not use the Information in violation of United States federal securities laws. The provisions of this Section 15 shall survive the termination, expiration Subsidiaries or exercise of this Warrant.any

Appears in 1 contract

Samples: Subscription Agreement (Luna Innovations Inc)

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