Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectus, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a FINRA member participating in the Offering.
Appears in 9 contracts
Samples: Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp)
Insiders’ FINRA Affiliation. Except Based on the Questionnaires, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringmember.
Appears in 5 contracts
Samples: Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (Capital Ten Acquisition Corp.)
Insiders’ FINRA Affiliation. Except Based on the Questionnaires, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock Shares is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringoffering.
Appears in 4 contracts
Samples: Underwriting Agreement (Staccato Acquisition Corp.), Underwriting Agreement (Symphony Acquisition Corp.), Underwriting Agreement (Symphony Acquisition Corp.)
Insiders’ FINRA Affiliation. Except Based on questionnaires distributed to such persons, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a FINRA member participating in the Offeringoffering.
Appears in 4 contracts
Samples: Underwriting Agreement (Global Alternative Asset Management, Inc.), Underwriting Agreement (Global Alternative Asset Management, Inc.), Underwriting Agreement (Global Alternative Asset Management, Inc.)
Insiders’ FINRA Affiliation. Except Based on the Questionnaires, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative Representatives and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringmember.
Appears in 3 contracts
Samples: Underwriting Agreement (New Asia Partners China I Corp), Underwriting Agreement (New Asia Partners China I Corp), Underwriting Agreement (New Asia Partners China I Corp)
Insiders’ FINRA Affiliation. Except Based on questionnaires distributed to such persons, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock Ordinary Shares is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringoffering.
Appears in 3 contracts
Samples: Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.)
Insiders’ FINRA Affiliation. Except Based on the Questionnaires, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectusset forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the each Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock Ordinary Shares is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringoffering.
Appears in 3 contracts
Samples: Underwriting Agreement (CS China Acquisition Corp.), Underwriting Agreement (CS China Acquisition Corp.), Underwriting Agreement (CS China Acquisition Corp.)
Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectus, no No officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock Ordinary Shares is or becomes an affiliate or associated person of a FINRA member participating in the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.)
Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectus, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding shares of Common Stock is or becomes an affiliate or associated person of a FINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (Nautilus Marine Acquisition Corp)
Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectus, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock Ordinary Shares is or becomes an affiliate or associated person of a FINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (S.E. Asia Emerging Market Company., LTD), Underwriting Agreement (S.E. Asia Emerging Market Company., LTD)
Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the ProspectusBased on questionnaires distributed to such persons, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if prior to the Effective Date, it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringoffering.
Appears in 1 contract
Insiders’ FINRA Affiliation. Except as disclosed in Based on the Registration Statement, the Sale Preliminary Prospectus, or the ProspectusQuestionnaires, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding Common Stock Ordinary Shares is or becomes an affiliate or associated person of a an FINRA member participating in the Offeringmember.
Appears in 1 contract
Samples: Underwriting Agreement (China Evergreen Acquisition Corp.)
Insiders’ FINRA Affiliation. Except as disclosed in the Registration Statement, the Sale Preliminary Prospectus, or the Prospectus, no No officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any FINRA member, as determined in accordance with the rules and regulations of FINRA. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding Common Stock is or becomes an affiliate or associated person of a FINRA member participating in the Offering.
Appears in 1 contract
Samples: Underwriting Agreement (57th Street General Acquisition Corp)
