Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). The Company is in compliance with all applicable listing and maintenance requirements of the Trading Market. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 12 contracts
Samples: Common Stock Purchase Agreement (Signing Day Sports, Inc.), Common Stock Purchase Agreement (Bed Bath & Beyond Inc), Common Stock Purchase Agreement (Amprius Technologies, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act, Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. The Except as disclosed in the Filed Commission Documents, the Company has not not, in the twelve (12) months preceding the date hereof, received any written notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) any Person to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market. Except as disclosed in the Commission Documents, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Market. The Common Stock may be issued is eligible for participation in the DTC book entry system and transferred has shares on deposit at DTC for transfer electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) DWAC delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 5 contracts
Samples: Common Stock Purchase Agreement (Windtree Therapeutics Inc /De/), Common Stock Purchase Agreement (Enservco Corp), Common Stock Purchase Agreement (Aditxt, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not not, in the 12 months preceding the Closing Date, received notice from the any Trading Market (or, if on which the Common Stock is then or has been listed on an Eligible Market, from such Eligible Market) or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. As of the Trading Market (or of such Eligible MarketClosing Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Bio Key International Inc), Common Stock Purchase Agreement (Amyris, Inc.), Common Stock Purchase Agreement (Bioheart, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not not, in the 12 months preceding the Closing Date, received notice from the any Trading Market (or, if on which the Common Stock is then or has been listed on an Eligible Market, from such Eligible Market) or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. As of the Trading Market (or of such Eligible MarketClosing Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry settlement services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 3 contracts
Samples: Common Stock Purchase Agreement (Sanwire Corp), Registration Rights Agreement, Common Stock Purchase Agreement (Tauriga Sciences, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Except as disclosed on Schedule 3(ff), the Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or Market. As of such Eligible Marketthe Subscription Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued is eligible for participation in The Depository Trust Company (“DTC”) book entry system and transferred has shares on deposit at DTC for transfer electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Alternus Clean Energy, Inc.), Securities Purchase Agreement (Interactive Strength, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not not, in the 12 months preceding the Closing Date, received notice from the any Trading Market (or, if on which the Common Stock is then or has been listed on an Eligible Market, from such Eligible Market) or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. As of the Trading Market (or of such Eligible MarketClosing Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Liquidmetal Technologies Inc)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any 24 notification that the Commission is contemplating terminating such registration. The Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). The Company is in compliance with all applicable listing and maintenance requirements of the Trading Market. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Terran Orbital Corp)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). The Company is in compliance with all applicable listing and maintenance requirements of the Trading Market. The Common Stock may be issued and transferred electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Greenidge Generation Holdings Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or Market. As of such Eligible Marketthe Commencement Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued is eligible for participation in the DTC book entry system and transferred has shares on deposit at DTC for transfer electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 1 contract
Samples: Common Stock Purchase Agreement (Super League Gaming, Inc.)
Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not received notice from the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or Market. As of such Eligible Marketthe Subscription Date, as applicable). The the Company is in compliance with all applicable such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock may be issued is eligible for participation in The Depository Trust Company (“DTC”) book entry system and transferred has shares on deposit at DTC for transfer electronically to third parties via DTC through its Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.
Appears in 1 contract
Samples: Securities Purchase Agreement (Super League Gaming, Inc.)