Common use of Listing and Maintenance Requirements Clause in Contracts

Listing and Maintenance Requirements. 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.

Appears in 27 contracts

Samples: Securities Purchase Agreement (ZaZa Energy Corp), Securities Purchase Agreement (Fluoropharma Medical, Inc.), Securities Purchase Agreement (Pressure Biosciences Inc)

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Listing and Maintenance Requirements. 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 is, and has no reason to believe that it will not continue to be, in compliance with all such listing and maintenance requirements.

Appears in 17 contracts

Samples: Note Purchase Agreement (Cosmos Group Holdings Inc.), Note Purchase Agreement (Sharing Economy International Inc.), Note Purchase Agreement (Sharing Economy International 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 the best of 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.

Appears in 17 contracts

Samples: Securities Purchase Agreement (Interlink Electronics Inc), Securities Purchase Agreement (theMaven, Inc.), Securities Purchase Agreement (Ondas Holdings Inc.)

Listing and Maintenance Requirements. 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. Schedule 3.1(v) describes the most recent notification received by the Company from Nasdaq.

Appears in 14 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.)

Listing and Maintenance Requirements. 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.such

Appears in 9 contracts

Samples: Securities Purchase Agreement (Oblong, Inc.), Securities Purchase Agreement (Energy Focus, Inc/De), Securities Purchase Agreement (Apricus 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, or which to the best of 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.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Mobivity Holdings Corp.), Securities Purchase Agreement (Nemus Bioscience, Inc.), Securities Purchase Agreement (Mobivity Holdings 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 its knowledge is likely to have the effect of, terminating 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.

Appears in 7 contracts

Samples: Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Ignyta, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b12 (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.

Appears in 7 contracts

Samples: Subscription Agreement (KULR Technology Group, Inc.), Subscription Agreement (Document Security Systems Inc), Subscription Agreement (KULR Technology Group, Inc.)

Listing and Maintenance Requirements. 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 the Knowledge of the Company is reasonably likely to to, have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 6 contracts

Samples: Investment Agreement (Resideo Technologies, Inc.), Investment Agreement (Emerald Holding, Inc.), Investment Agreement

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 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.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Galectin Therapeutics Inc), Strategic Alliance Agreement (Elite Pharmaceuticals Inc /De/), Securities Purchase Agreement (Pro 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 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.

Appears in 5 contracts

Samples: Securities Purchase Agreement (North American Technologies Group Inc /Mi/), Securities Purchase Agreement (Prides Capital Partners, LLC), Securities Purchase Agreement (North American Technologies Group Inc /Mi/)

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 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.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Hancock Jaffe Laboratories, Inc.), Securities Purchase Agreement (Hancock Jaffe Laboratories, Inc.), Securities Purchase Agreement (ENDRA Life Sciences Inc.)

Listing and Maintenance Requirements. The 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, or which to its knowledge is likely to have the effect of, terminating 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.

Appears in 5 contracts

Samples: Securities Purchase Agreement (A2Z Smart Technologies Corp), Securities Purchase Agreement (A2Z Smart Technologies Corp), Form of Securities Purchase Agreement (A2Z Smart Technologies 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 the best of 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.

Appears in 4 contracts

Samples: Securities Purchase Agreement (TOMI Environmental Solutions, Inc.), Securities Purchase Agreement (Crossroads Systems Inc), Securities Purchase Agreement (Crossroads 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, 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.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Whitney Information Network Inc), Securities Purchase Agreement (Practicexpert Inc), Securities Purchase Agreement (Practicexpert Inc)

Listing and Maintenance Requirements. 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.

Appears in 4 contracts

Samples: Underwriting Agreement (Wag! Group Co.), Securities Purchase Agreement (Protalex Inc), Securities Purchase Agreement (Protalex Inc)

Listing and Maintenance Requirements. 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 is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Black Hawk Exploration), Securities Purchase Agreement (Hyperdynamics Corp), Shares Purchase Agreement (Hyperdynamics Corp)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission or the Principal Trading Market is contemplating terminating such registrationregistration or listing. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all applicable listing and maintenance requirements of the Principal Trading Market.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Shattuck Labs, Inc.), Form of Securities Purchase Agreement (Viridian Therapeutics, Inc.\DE), Securities Purchase Agreement (Viridian Therapeutics, 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 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.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Panamerican Bancorp), Securities Purchase Agreement (Panamerican Bancorp), Securities Purchase Agreement (Genta Inc De/)

Listing and Maintenance Requirements. 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 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 been since December 31, 2018, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Exchange Act).

Appears in 3 contracts

Samples: Purchase Agreement (Trevi Therapeutics, Inc.), Purchase Agreement (Aileron Therapeutics Inc), Purchase Agreement (Advaxis, 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 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.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Elite Pharmaceuticals Inc /De/), Securities Purchase Agreement (Elite Pharmaceuticals Inc /De/), Securities Purchase Agreement (Elite Pharmaceuticals Inc /De/)

Listing and Maintenance Requirements. 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 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. Except as set forth in the SEC Reports, the Company has not, in the ten (10) 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.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (McCabe Greg)

Listing and Maintenance Requirements. 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 actual 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 registrationAct.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Repros Therapeutics Inc.), Securities Purchase Agreement (Repros Therapeutics Inc.), RPRX Securities Purchase Agreement (Repros Therapeutics Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission SEC is contemplating terminating such registration.

Appears in 3 contracts

Samples: Convertible Preferred Stock Purchase Agreement (Bio Key International Inc), Securities Purchase Agreement (Cardinal Resources, Inc.), Securities Purchase Agreement (Bio Key International Inc)

Listing and Maintenance Requirements. The Class A 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 the Knowledge of the Company is reasonably likely to to, have the effect of, terminating the registration of the Class A Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 3 contracts

Samples: Investment Agreement (EVO Payments, Inc.), Investment Agreement (Virtu Financial, Inc.), Investment Agreement (Virtu Financial, Inc.)

Listing and Maintenance Requirements. (a) 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.

Appears in 3 contracts

Samples: Securities Purchase Agreement (World Waste Technologies Inc), Securities Purchase Agreement (World Waste Technologies Inc), Securities Purchase Agreement (World Waste Technologies Inc)

Listing and Maintenance Requirements. 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 Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Common Stock is quoted on the Trading Market.

Appears in 3 contracts

Samples: Convertible Note Purchase Agreement (Spy Inc.), Convertible Note Purchase Agreement (Spy Inc.), Stock Purchase Agreement (Orange 21 Inc.)

Listing and Maintenance Requirements. 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 SEC is contemplating terminating such registration. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 2 contracts

Samples: Equity Purchase Agreement (AIM ImmunoTech Inc.), Equity Purchase Agreement (US Highland, Inc.)

Listing and Maintenance Requirements. 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 pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Mastech Digital, Inc.), Securities Purchase Agreement (Mastech Digital, Inc.)

Listing and Maintenance Requirements. The Except as set forth on Schedule 3.1(v) attached hereto, (i) 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 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 registrationregistration or listing and (ii) the Company is in compliance in all material respects with the rules and regulations of the Principal Trading Market, in each case, that are applicable to the Company.

Appears in 2 contracts

Samples: Stock Purchase Agreement (CohBar, Inc.), Agreement and Plan of Merger (CohBar, Inc.)

Listing and Maintenance Requirements. The issued and outstanding shares of Common Stock is have been 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 such Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company is in material compliance with the listing and maintenance requirements and any other applicable rules and regulations of the New York Stock Exchange.

Appears in 2 contracts

Samples: Purchase Agreement (Spark Networks Inc), Purchase Agreement (Spark Networks Inc)

Listing and Maintenance Requirements. 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, in the 12 months preceding the date hereof, received 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.

Appears in 2 contracts

Samples: Selling Agency Agreement (Youngevity International, Inc.), Underwriting Agreement (Adventrx 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 its knowledge is likely to have the effect of, terminating 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 is in compliance with all listing and maintenance requirements of the Principal Trading Market on the date hereof.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Tengion Inc), Securities Purchase Agreement (Tengion Inc)

Listing and Maintenance Requirements. 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 SEC is contemplating terminating such registration. The Company is in material compliance with the listing and maintenance requirements and any other applicable rules and regulations of the Nasdaq Global Select Market.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Coca Cola Co), Common Stock Purchase Agreement (Green Mountain Coffee Roasters 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 its knowledge is likely to have the effect of, terminating 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 registrationregistration or listing. Except as set forth in the SEC Reports, to the Company’s Knowledge, it is in compliance with all applicable listing requirements of the Principal Trading Market.

Appears in 2 contracts

Samples: Agreement and Plan of Merger (Novus Therapeutics, Inc.), Stock Purchase Agreement (Novus Therapeutics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, Act and listed on the Exchange and the Company has taken no action designed to, or which to its knowledge is reasonably likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act or delisting the Common Stock from the Exchange, nor has the Company received any notification that the Commission SEC or the Exchange is contemplating terminating such registrationregistration or listing. The Company is in compliance in all material respects with all applicable listing requirements of the Exchange.

Appears in 2 contracts

Samples: Preferred Stock Purchase Agreement, Preferred Stock Purchase Agreement (Lexicon Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. The Company is taking all necessary action to register its 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 negating such registration of the Common Stock under the Exchange Act Stock, nor has the Company received any notification that the Commission is contemplating terminating rejecting such registration.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (LandStar, Inc.), Common Stock Purchase Agreement (LandStar, Inc.)

Listing and Maintenance Requirements. 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 the Knowledge of the Company is reasonably likely to to, have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 2 contracts

Samples: Preferred Stock Purchase Agreement (WildHorse Resource Development Corp), Investment Agreement (Genesee & Wyoming 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 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 is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Morgan Beaumont Inc), Securities Purchase Agreement (Morgan Beaumont 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 its knowledge is likely to have the effect of, terminating 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 registrationregistration or listing. To the Company’s Knowledge, it is in compliance with all applicable listing requirements of the Principal Trading Market.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Miragen Therapeutics, Inc.), Securities Purchase Agreement (Unum Therapeutics Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or Section 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission or the Principal Trading Market is contemplating terminating such registrationregistration or listing. The Company is, and immediately following the Closing will be, in compliance with all applicable listing requirements of the Principal Trading Market.

Appears in 2 contracts

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

Listing and Maintenance Requirements. 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 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 been since December 31, 2020, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Exchange Act).

Appears in 2 contracts

Samples: Purchase Agreement (HyreCar Inc.), Purchase Agreement (Artelo 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, or which to its knowledge is likely to have the effect of, terminating 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

Appears in 1 contract

Samples: Securities Purchase Agreement (Gemphire 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 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cambridge Heart Inc)

Listing and Maintenance Requirements. The Common Stock is is, and as of the Closing will be, 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 written notification that the Commission SEC is contemplating terminating such registration. The Company is in material compliance with the listing and maintenance requirements and any other applicable rules and regulations of NASDAQ.

Appears in 1 contract

Samples: Securities Purchase Agreement (Rockwell Automation Inc)

Listing and Maintenance Requirements. The 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, or which to its knowledge is likely to have the effect of, terminating 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cytomedix Inc)

Listing and Maintenance Requirements. 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 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 been since April 1, 2022, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Exchange Act).

Appears in 1 contract

Samples: Purchase Agreement (Nutex Health, Inc.)

Listing and Maintenance Requirements. 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 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 been, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Securities Act).

Appears in 1 contract

Samples: Purchase Agreement (Heart Test Laboratories, Inc.)

Listing and Maintenance Requirements. 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 intended to, or which which, to its knowledge the Knowledge of the Company, is reasonably likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received as of the date of this Agreement any written notification that the Commission SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Registration Rights Agreement (Catalent, Inc.)

Listing and Maintenance Requirements. 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 the Knowledge of the Company is reasonably likely to to, have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Purchase Agreement (Melinta Therapeutics, Inc. /New/)

Listing and Maintenance Requirements. 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 pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration.such

Appears in 1 contract

Samples: Purchase Agreement (Fast Radius, Inc.)

Listing and Maintenance Requirements. 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 is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 1 contract

Samples: Securities Purchase Agreement (Hyperdynamics Corp)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and except as contemplated by the Merger Agreement the Company has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration.

Appears in 1 contract

Samples: Securities Purchase Agreement (Southwest Water Co)

Listing and Maintenance Requirements. 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 Common Stock is not listed or quoted for trading on any Trading Market as of the date hereof.

Appears in 1 contract

Samples: Securities Exchange Agreement (GeoPharma, Inc.)

Listing and Maintenance Requirements. 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 is and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 1 contract

Samples: Security Agreement (Incannex Healthcare Inc.)

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Listing and Maintenance Requirements. 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 reasonably likely to have the effect of, terminating the such 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 is, and immediately after the consummation of the transactions contemplated hereby will be, in compliance with all listing and maintenance requirements of the Trading Market on which the Common Stock is quoted as of the effective date of this Agreement.

Appears in 1 contract

Samples: Stock Purchase Agreement (Technical Communications Corp)

Listing and Maintenance Requirements. The shares of Common Stock is are registered pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the Company Purchaser 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 Purchaser received any notification that the Commission is contemplating terminating such registration, except as set forth in the SEC Reports.

Appears in 1 contract

Samples: Asset Purchase Agreement (180 Life Sciences 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 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 is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements of the Trading Market.

Appears in 1 contract

Samples: Hythiam Inc

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, Act and the Company has taken no action designed to, or which to its knowledge the Knowledge of the Company is reasonably likely to to, have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has the Company received since December 31, 2014 any written notification that the Commission is contemplating terminating SEC intends to terminate such registration.registration or from the NYSE that it intends to delist the Company. Section 2.22

Appears in 1 contract

Samples: PHX 332633099v6 Investment Agreement (Roadrunner Transportation Systems, Inc.)

Listing and Maintenance Requirements. 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 the Company’s 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.

Appears in 1 contract

Samples: Securities Exchange Agreement (Retail Pro, Inc.)

Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g15(d) 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Bio Bridge Science Inc)

Listing and Maintenance Requirements. 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 pursuant to the Exchange Act nor has the Company received any written notification that the Commission SEC is currently contemplating terminating such registration.

Appears in 1 contract

Samples: Purchase Agreement (Aclaris Therapeutics, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, Act and the Company has taken no action designed to, or which to its knowledge the Knowledge of the Company is reasonably likely to to, have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has the Company received since December 31, 2014 any written notification that the Commission is contemplating terminating SEC intends to terminate such registrationregistration or from the NYSE that it intends to delist the Company.

Appears in 1 contract

Samples: Investment Agreement (Roadrunner Transportation Systems, Inc.)

Listing and Maintenance Requirements. 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 pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company is in compliance with the listing and maintenance requirements of the Principal Market, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.

Appears in 1 contract

Samples: Purchase Agreement (Enochian Biosciences Inc)

Listing and Maintenance Requirements. 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, to terminate (or which to its knowledge is likely would reasonably be expected to have the effect of, terminating 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Celator 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 its knowledge is likely to have the effect of, terminating 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Great American Group, Inc.)

Listing and Maintenance Requirements. 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 Knowledge is likely to have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has Act. Except as specified in the SEC Reports, the Company has not, in the two (2) years preceding the date hereof, received any notification written notice from the NYSE Alternext to the effect that the Commission Company is contemplating terminating such registrationnot in compliance with the listing or maintenance requirements thereof.

Appears in 1 contract

Samples: Securities Purchase Agreement (Igi 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 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.such

Appears in 1 contract

Samples: Securities Purchase Agreement (Focus Enhancements Inc)

Listing and Maintenance Requirements. 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, in the 12 months preceding the date hereof, received notice from Nasdaq to the effect that the Company is not in compliance with the listing or maintenance requirements of such market.

Appears in 1 contract

Samples: Subscription Agreement (Arrowhead Research 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 the best of 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (My Screen Mobile, Inc.)

Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has not yet taken no any 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.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (AMERICAN POWER GROUP Corp)

Listing and Maintenance Requirements. 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 SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Form of Unit Purchase Agreement (Citius Pharmaceuticals, Inc.)

Listing and Maintenance Requirements. 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 Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not received notice from the Principal Market to the effect that the Company is not in compliance with the listing or maintenance requirements of the Principal Market.

Appears in 1 contract

Samples: Chef Purchase Agreement (Senti Biosciences, Inc.)

Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission SEC is contemplating terminating such registration.such

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Empire Resorts Inc)

Listing and Maintenance Requirements. 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 Common Stock is currently eligible for electronic transfer through the Depository Trust Company.

Appears in 1 contract

Samples: Securities Purchase Agreement (Snap Interactive, Inc)

Listing and Maintenance Requirements. 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, in the 12 months preceding the date hereof, received 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.

Appears in 1 contract

Samples: Note Purchase Agreement (Marina Biotech, Inc.)

Listing and Maintenance Requirements. 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 received 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.

Appears in 1 contract

Samples: Unit Purchase Agreement (CytomX Therapeutics, Inc.)

Listing and Maintenance Requirements. 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 SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Purchase Agreement (NeuBase Therapeutics, Inc.)

Listing and Maintenance Requirements. 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 Knowledge is likely to have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has Act. Except as specified in the SEC Reports filed prior to the date hereof, the Company has not, in the two years preceding the date hereof, received any notification written notice from the NYSE Alternext to the effect that the Commission Company is contemplating terminating such registrationnot in compliance with the listing or maintenance requirements thereof.

Appears in 1 contract

Samples: Series a Preferred Stock Purchase Agreement (Castle Brands 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 its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock its common stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration.

Appears in 1 contract

Samples: Securities Purchase Agreement (Torchlight Energy Resources 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 its knowledge is likely to have the effect of, terminating 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 registrationregistration or listing. The Company is in compliance with all applicable listing requirements of the Principal Trading Market.

Appears in 1 contract

Samples: Stock Purchase Agreement (Catabasis 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 its knowledge is likely to have the effect of, terminating 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 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Pacific Financial 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, to terminate (or which to its knowledge is likely would reasonably be expected to have the effect of, terminating 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.

Appears in 1 contract

Samples: Unit Purchase Agreement (Equity Media Holdings 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 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.

Appears in 1 contract

Samples: Purchase Agreement (Cambridge Heart Inc)

Listing and Maintenance Requirements. 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 that to its knowledge the Knowledge of the Company is reasonably likely to to, have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Purchase Agreement (MRC Global Inc.)

Listing and Maintenance Requirements. 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 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.

Appears in 1 contract

Samples: Securities Purchase Agreement (Transgenomic Inc)

Listing and Maintenance Requirements. 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 reasonably likely to to, have the effect of, of terminating the registration of the Common Stock under the Exchange Act nor has the Company received as of the date of this Agreement any notification that the Commission SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Stock Issuance Agreement (WildHorse Resource Development Corp)

Listing and Maintenance Requirements. The 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, or which to its knowledge is likely to have the effect of, terminating terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission SEC is contemplating terminating such registration.

Appears in 1 contract

Samples: Securities Purchase Agreement (Bio Key International 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 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.such

Appears in 1 contract

Samples: Securities Purchase Agreement (Epicept Corp)

Listing and Maintenance Requirements. 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 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 any notice from any Person to the effect that the Company is not in compliance with the listing or maintenance requirements of the Principal Market.

Appears in 1 contract

Samples: Purchase Agreement (Celsion CORP)

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