Common use of Listing and Maintenance Requirements; DTC Eligibility Clause in Contracts

Listing and Maintenance Requirements; DTC Eligibility. The Common Shares are registered pursuant to Section 12(b) of the Exchange Act, and the Corporation has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Shares pursuant to the Exchange Act nor has the Corporation received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Corporation has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Corporation is not in compliance with the listing or maintenance requirements of the Nasdaq Capital Market or the TSX. Except as disclosed in the Commission Documents, the Corporation is in compliance with all such listing and maintenance requirements of the Nasdaq Capital Market and of the TSX. The Common Shares are eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC delivery system. The Corporation has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Shares, electronic trading or book-entry services by DTC with respect to the Common Shares is being imposed or is contemplated.

Appears in 2 contracts

Samples: Subscription Agreement (Aptose Biosciences Inc.), Aptose Biosciences Inc.

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Listing and Maintenance Requirements; DTC Eligibility. The As of the date of this Agreement and the Closing Date, the Common Shares are Stock is registered pursuant to Section 12(b12(g) of the Exchange Act, and the Corporation 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 Shares pursuant to Stock under the Exchange Act Act, nor has the Corporation Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission Documentsdate of this Agreement and the Closing Date, the Corporation Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Corporation Company is not in compliance with the listing or maintenance requirements of the Nasdaq Capital such Trading Market or Eligible Market, as applicable. As of the TSX. Except as disclosed in the Commission DocumentsClosing Date, the Corporation Company is in compliance with all such listing and maintenance requirements of the Nasdaq Capital Market and of the TSXrequirements. The Common Shares are Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Corporation Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common SharesStock, electronic trading or book-entry services by DTC with respect to the Common Shares Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Life Clips, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The As of the Closing Date, the Class A Common Shares are Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Corporation Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the such Class A Common Shares pursuant to Stock under the Exchange Act Act, nor has the Corporation Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed set forth in the Filed Commission Documents, the Corporation Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Class A Common Stock is or has been listed or quoted to the effect that the Corporation Company is not in compliance with the listing or maintenance requirements of the Nasdaq Capital such Trading Market or the TSXEligible Market, as applicable. Except as disclosed set forth in the Commission Documents, the Corporation Company is in compliance with all such listing and maintenance requirements of the Nasdaq Capital Market and of the TSXrequirements. The Class A Common Shares are Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Corporation Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Class A Common SharesStock, electronic trading or book-entry services by DTC with respect to the Class A Common Shares Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Inspire Veterinary Partners, Inc.)

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Listing and Maintenance Requirements; DTC Eligibility. The Common Shares are registered pursuant to Section 12(b) of the Exchange Act, and the Corporation 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 Shares pursuant to the Exchange Act nor has the Corporation Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Corporation Company has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Corporation Company is not in compliance with the listing or maintenance requirements of the Nasdaq Capital Market or the TSXTrading Market. Except as disclosed in the Commission Documents, the Corporation Company is in compliance with all such listing and maintenance requirements of the Nasdaq Capital Market and of the TSXTrading Market. The Common Shares are eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC delivery system. The Corporation Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Shares, electronic trading or book-entry services by DTC with respect to the Common Shares is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Share Purchase Agreement (Aptose Biosciences Inc.)

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