Common use of Listing and Maintenance Requirements Clause in Contracts

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 18 contracts

Samples: Securities Purchase Agreement (Atara Biotherapeutics, Inc.), Securities Purchase Agreement (Rallybio Corp), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.)

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Listing and Maintenance Requirements. 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 terminate its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the twelve (12) months preceding the date hereof, received written any notice from any Trading Market on which the Common Stock is listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofMarket.

Appears in 8 contracts

Samples: Strata Purchase Agreement (iCoreConnect Inc.), Strata Purchase Agreement (Vivakor, Inc.), Strata Purchase Agreement (Clean Vision Corp)

Listing and Maintenance Requirements. 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 terminate its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereofClosing Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The As of the Closing Date, the Company is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereofrequirements.

Appears in 7 contracts

Samples: Common Stock Purchase Agreement (Terra Tech Corp.), Common Stock Purchase Agreement (Terra Tech Corp.), Common Stock Purchase Agreement (American Petro-Hunter Inc)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Helicos Biosciences Corp), Securities Purchase Agreement (Versant Ventures II LLC), Securities Purchase Agreement (Helicos Biosciences Corp)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Mri Interventions, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Cytori Therapeutics, Inc.), Securities Purchase Agreement (Ardea Biosciences, Inc./De), Securities Purchase Agreement (Titan Pharmaceuticals Inc)

Listing and Maintenance Requirements. 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 terminate its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereofEffective Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance in any material respect with the listing or maintenance requirements of such Trading Market. The As of the Effective Date, the Company is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereofrequirements.

Appears in 5 contracts

Samples: Common Stock Purchase Agreement (Delcath Systems Inc), Common Stock Purchase Agreement (EnteroMedics Inc), Common Stock Purchase Agreement (Trius Therapeutics Inc)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months or such applicable shorter period preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 4 contracts

Samples: Securities Purchase Agreement, Share Purchase Agreement and Omnibus Amendment (Juno Therapeutics, Inc.), Share Purchase Agreement (Juno Therapeutics, Inc.)

Listing and Maintenance Requirements. 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 terminate its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as set forth in the SEC Documents, the Company has not, in the twelve (12) months preceding the date hereof, received written any notice from any Trading the Principal Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofMarket.

Appears in 4 contracts

Samples: Purchase Agreement Purchase Agreement (Provectus Pharmaceuticals Inc), Purchase Agreement Purchase Agreement (Stemcells Inc), Purchase Agreement (Zalicus Inc.)

Listing and Maintenance Requirements. 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 terminate 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 Except as set forth on Schedule 3.1(y), the Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Cellectar Biosciences, Inc.), Securities Purchase Agreement (Delcath Systems, Inc.), Securities Purchase Agreement (Delcath Systems, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 3 contracts

Samples: Securities Purchase Agreement (RHO Ventures VI LP), Securities Purchase Agreement (Bluefly Inc), Securities Purchase Agreement (Bluefly Inc)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve ten (1210) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Raptor Pharmaceutical Corp)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Cardica Inc), Form of Securities Purchase Agreement (Wonder Auto Technology, Inc)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 2 contracts

Samples: Securities Purchase Agreement (aTYR PHARMA INC), Securities Purchase Agreement (Baxano Surgical, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Ardea Biosciences, Inc./De), Securities Purchase Agreement (Ardea Biosciences, Inc./De)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is will not be in compliance with all such listing and maintenance requirements as of the Principal Trading Market on the date hereofyear ended September 30, 2012 unless this or a similar financing of not less than $1 million is completed.

Appears in 2 contracts

Samples: Securities Purchase Agreement (IsoRay, Inc.), Placement Agency Agreement (IsoRay, Inc.)

Listing and Maintenance Requirements. 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 terminate its Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereofClosing Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The As of the Closing Date, the Company is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereofrequirements.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Soul & Vibe Interactive Inc.), Common Stock Purchase Agreement (Soul & Vibe Interactive Inc.)

Listing and Maintenance Requirements. 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 terminate 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 Except as set forth in the SEC Reports, the Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Biofrontera Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofhereof and the issuance of the Shares will not violate any such listing or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Amarillo Biosciences Inc)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Kythera Biopharmaceuticals Inc)

Listing and Maintenance Requirements. 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 terminate 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 Except as set forth in the SEC Reports, the Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (SAB Biotherapeutics, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The As of the date hereof, the Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market Market, except as set forth on the date hereofDisclosure Schedule.

Appears in 1 contract

Samples: Securities Purchase Agreement (Jazz Pharmaceuticals Inc)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange 1934 Act, and the Company has taken no action designed to terminate the registration of the Common Stock under the Exchange 1934 Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cig Wireless Corp.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 1 contract

Samples: Securities Purchase Agreement (First Bancorp /Nc/)

Listing and Maintenance Requirements. The Company’s Shares of the Common Stock is are registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except disclosed in the SEC Reports, the Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofhereof and the issuance of the Securities will not violate any such listing or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (NeuroBo Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Annexon, Inc.)

Listing and Maintenance Requirements. 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 terminate its knowledge is likely to have the effect of, terminating the registration of the Common Stock under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written any notice from any Trading the Principal Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereofrequirements.

Appears in 1 contract

Samples: Purchase Agreement (Galena Biopharma, Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written or oral notification from the SEC that the Commission SEC is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all applicable listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Registration Rights Agreement (Aveo Pharmaceuticals Inc)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is is, and intends to remain, in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Mri Interventions, Inc.)

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Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Athersys, Inc / New)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Nasdaq Capital Market on the date hereofhereof and the issuance of the Securities will not violate any such listing or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Heska Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is is, and the Warrant Shares when issued will be, registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Ribbon Communications Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofhereof and the issuance of the Shares will not violate any such listing or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (DermTech, Inc.)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 1 contract

Samples: Securities Purchase Agreement (Hoku Scientific Inc)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofhereof in all material respects.

Appears in 1 contract

Samples: Securities Purchase Agreement (CONTRAFECT Corp)

Listing and Maintenance Requirements. The Company’s Common Stock is Shares are registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to terminate the registration of the Common Stock Shares under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is Shares are listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Stock Purchase Agreement (FirstService Corp)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal principal Trading Market on the date hereofMarket.

Appears in 1 contract

Samples: Securities Purchase Agreement (CARGO Therapeutics, Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.hereof and the issuance of the Securities will not violate any such listing or maintenance requirements. (z)

Appears in 1 contract

Samples: Execution Version Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Subject to receipt of the Stockholder Approval and implementation of the reverse stock split contemplated thereby, the Company is will be, and has no reason to believe that it will not in the foreseeable future continue to be in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Stock and Warrant Purchase Agreement (Stereotaxis, Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) 12 of the Exchange Act, and the Company has taken no action designed to, or which to terminate its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the twelve (12) 12 months preceding the date hereof, received written notice from any Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Principal Trading Market. The Company is in material compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereofhereof and the issuance of the Securities will not violate any such listing or maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Redfin Corp)

Listing and Maintenance Requirements. 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 terminate 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 Except as disclosed in Schedule 3.1(y) hereto, the Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Except as disclosed in Schedule 3.1(y) hereto, the Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Anthera Pharmaceuticals Inc)

Listing and Maintenance Requirements. 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 terminate 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 in the SEC Reports, the Company has not, in the twelve (12) 12 months preceding the date hereofEffective Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Preferred Stock Purchase Agreement (Medis Technologies LTD)

Listing and Maintenance Requirements. 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 terminate 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, in the twelve (12) 12 months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with 16 the listing or maintenance requirements of such the Principal Trading Market. The Company is is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all the listing and maintenance requirements for continued trading of the Common Stock on the Principal Trading Market on the date hereofMarket.

Appears in 1 contract

Samples: Securities Purchase Agreement (MidWestOne Financial Group, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is Shares are registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to terminate the registration of the Common Stock Shares under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any Trading Market on which the Common Stock is Shares are listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is in compliance in all material respects with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Liminal BioSciences Inc.)

Listing and Maintenance Requirements. 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 action, and does not presently intend to take any action, designed to terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the twelve (12) months preceding the date hereof, received written notice from any the Principal Trading Market on which the Common Stock is listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such the Principal Trading Market. The Company is in material compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) 12 of the Exchange Act, and the Company has taken no action designed to, or which to terminate its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has nor, to the Company received any notification that Company’s knowledge, is the Commission is SEC contemplating terminating such registration. The Except as set forth in Schedule 4.1(w) of the Disclosure Schedules, the Company has not, not in the twelve (12) 12 months preceding the date hereofEffective Date, received written notice from any Trading Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Market and the Company is in compliance with all such listing and maintenance requirements of the Principal Trading Market on the date hereofrequirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Bionovo Inc)

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