Common use of Litigation; Governmental Proceedings Clause in Contracts

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 177 contracts

Samples: Underwriting Agreement (Invizyne Technologies Inc), Underwriting Agreement (Better Choice Co Inc.), Underwriting Agreement (Nova Minerals LTD)

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Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending orpending, or to the Company’s knowledge, assuming reasonable inquiry, threatened against, against or involving the Company or, to the Company’s knowledge, assuming reasonable inquiry, any executive officer Insider or director which any stockholder or member of an Insider that has not been disclosed disclosed, that is required to be disclosed, in the Registration Statement, the Pricing Disclosure Package and Statutory Prospectus, the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 162 contracts

Samples: Underwriting Agreement (CO2 Energy Transition Corp.), Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (CO2 Energy Transition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Respondents or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 93 contracts

Samples: Underwriting Agreement (DT Cloud Star Acquisition Corp), Underwriting Agreement (DT Cloud Star Acquisition Corp), Underwriting Agreement (Bukit Jalil Global Acquisition 1 Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 87 contracts

Samples: Underwriting Agreement (rYojbaba Co., Ltd.), Underwriting Agreement (Metros Development Co., Ltd.), Underwriting Agreement (Metros Development Co., Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s 's knowledge, threatened against, or involving the Company or, to the best of the Company’s 's knowledge, any executive officer or director Initial Stockholder, which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 56 contracts

Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich has not been disclosed.

Appears in 42 contracts

Samples: Underwriting Agreement (OS Therapies Inc), Lock Up Agreement (Kairos Pharma, LTD.), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 32 contracts

Samples: Underwriting Agreement (Fenbo Holdings LTD), Underwriting Agreement (Fenbo Holdings LTD), Underwriting Agreement (Fenbo Holdings LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 25 contracts

Samples: Underwriting Agreement (Opti-Harvest, Inc.), Underwriting Agreement (Opti-Harvest, Inc.), Underwriting Agreement (Opti-Harvest, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 24 contracts

Samples: Underwriting Agreement (Expion360 Inc.), Underwriting Agreement (Expion360 Inc.), Underwriting Agreement (Bluejay Diagnostics, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened threatened, against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 22 contracts

Samples: Underwriting Agreement (ZJK Industrial Co., Ltd.), Underwriting Agreement (Energys Group LTD), Underwriting Agreement (Energys Group LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 20 contracts

Samples: Underwriting Agreement (Western Acquisition Ventures Corp.), Underwriting Agreement (Western Acquisition Ventures Corp.), Underwriting Agreement (Western Acquisition Ventures Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 20 contracts

Samples: Underwriting Agreement (Silynxcom Ltd.), Underwriting Agreement (Sushi Ginza Onodera, Inc.), Underwriting Agreement (Sushi Ginza Onodera, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 17 contracts

Samples: Underwriting Agreement (Pacific Special Acquisition Corp.), Underwriting Agreement (Pacific Special Acquisition Corp.), Underwriting Agreement (Arowana Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaq.

Appears in 17 contracts

Samples: Underwriting Agreement (Vittoria LTD), Underwriting Agreement (Flewber Global Inc.), Underwriting Agreement (ORIENTAL RISE HOLDINGS LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 17 contracts

Samples: Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and Package, the Prospectus or in connection with the Company’s listing application for the additional listing of the Public Securities Shares on the ExchangeExchange and which is required to be disclosed, in each case individually or in the aggregate.

Appears in 16 contracts

Samples: Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (Arch Therapeutics, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus which is required to be disclosed, in each case which individually or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeaggregate, is reasonably expected to result in a Material Adverse Change.

Appears in 15 contracts

Samples: Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (Lead Real Estate Co., LTD), Underwriting Agreement (Lead Real Estate Co., LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed and is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and which is required to be disclosed.

Appears in 14 contracts

Samples: Securities Purchase Agreement (Nano Dimension Ltd.), Securities Purchase Agreement (Nano Dimension Ltd.), Securities Purchase Agreement (Nano Dimension Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich has not been disclosed.

Appears in 14 contracts

Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and Questionnaires or the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 14 contracts

Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and which is required to be disclosed.

Appears in 12 contracts

Samples: Underwriting Agreement (OMNIQ Corp.), Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (FG Financial Group, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 11 contracts

Samples: Underwriting Agreement (Meridian Waste Solutions, Inc.), Underwriting Agreement (Akers Biosciences Inc), Underwriting Agreement (Intellicheck Mobilisa, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, or threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 9 contracts

Samples: Underwriting Agreement (Maison Solutions Inc.), Underwriting Agreement (Oranco Inc), Underwriting Agreement (Maison Solutions Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed would, individually or in the Registration Statementaggregate, the Pricing Disclosure Package and the Prospectus or reasonably be expected to result in connection with the Company’s listing application for the listing of the Public Securities on the Exchangea Material Adverse Change.

Appears in 9 contracts

Samples: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Distribution Agreement (Stemline Therapeutics Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director that is required to be disclosed in the Preliminary Prospectus, the Prospectus and the Registration Statement which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus therein or in connection with the Company’s listing application for the listing of the Public Securities shares of Common Stock on the ExchangeNasdaq Capital Market.

Appears in 9 contracts

Samples: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Provention Bio, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any of the Company’s executive officer or director which has not been officers and directors, that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeand which has not been disclosed therein.

Appears in 9 contracts

Samples: Underwriting Agreement (Calisa Acquisition Corp), Underwriting Agreement (Cayson Acquisition Corp), Underwriting Agreement (Tavia Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 8 contracts

Samples: Underwriting Agreement (WF International Ltd.), Underwriting Agreement (Fit Boxx Holdings LTD), Underwriting Agreement (Skillful Craftsman Education Technology LTD)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock (including the Common Stock underlying the Placement Agent Warrant) on the Exchange.

Appears in 8 contracts

Samples: Placement Agency Agreement (Ascent Solar Technologies, Inc.), Placement Agency Agreement (Ascent Solar Technologies, Inc.), Placement Agency Agreement (Ascent Solar Technologies, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 8 contracts

Samples: Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 8 contracts

Samples: Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (PARETEUM Corp), Underwriting Agreement (PARETEUM Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 7 contracts

Samples: Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (ITUS Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Company, or in connection with the Company’s listing application for the listing of the Shares on the Exchange, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeand is required to be disclosed therein.

Appears in 7 contracts

Samples: Underwriting Agreement (Top Wealth Group Holding LTD), Underwriting Agreement (Top Wealth Group Holding LTD), Underwriting Agreement (Garden Stage LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 7 contracts

Samples: Underwriting Agreement (Diamir Biosciences Corp.), Underwriting Agreement (Intensity Therapeutics, Inc.), Underwriting Agreement (Intensity Therapeutics, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Company’s officers and directors, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus that is required to be disclosed in the Registration Statement, the Statutory Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 7 contracts

Samples: Underwriting Agreement (ROC Energy Acquisition Corp.), Underwriting Agreement (Accretion Acquisition Corp.), Underwriting Agreement (Accretion Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing General Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 7 contracts

Samples: Underwriting Agreement (GigInternational1, Inc.), Underwriting Agreement (GigInternational1, Inc.), Underwriting Agreement (GigCapital5, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 6 contracts

Samples: Underwriting Agreement (SOBR Safe, Inc.), Underwriting Agreement (SOBR Safe, Inc.), Underwriting Agreement (SOBR Safe, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock on the Exchange.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director director, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 6 contracts

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Nano Dimension Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 6 contracts

Samples: Underwriting Agreement (MedWorth Acquisition Corp.), Underwriting Agreement (Hf2 Financial Management Inc.), Underwriting Agreement (Infinity Cross Border Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing trading of the Public Securities Shares on the ExchangeNasdaqCM.

Appears in 6 contracts

Samples: Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 6 contracts

Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 6 contracts

Samples: Placement Agency Agreement (Addentax Group Corp.), Placement Agency Agreement (Greenpro Capital Corp.), Placement Agency Agreement (Greenpro Capital Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 5 contracts

Samples: Underwriting Agreement (Rectitude Holdings Ltd.), Underwriting Agreement (Rectitude Holdings Ltd.), Underwriting Agreement (Rectitude Holdings Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Samples: Underwriting Agreement (Actelis Networks Inc), Underwriting Agreement (Actelis Networks Inc), Underwriting Agreement (Actelis Networks Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed as required by the Securities Act or the Securities Regulations in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Samples: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeExchange and which is required to be disclosed.

Appears in 5 contracts

Samples: Underwriting Agreement (Sidus Space Inc.), Underwriting Agreement (Oragenics Inc), Underwriting Agreement (Eltek LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Base Prospectus, the Time of Sale Prospectus and the Prospectus Supplement or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the NASDAQ Capital Market (the “Exchange”).

Appears in 5 contracts

Samples: Placement Agency Agreement (NXT-Id, Inc.), Placement Agency Agreement (NXT-Id, Inc.), NXT-Id, Inc.

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 5 contracts

Samples: Underwriting Agreement (Insurance Income Strategies Ltd.), Underwriting Agreement (Insurance Income Strategies Ltd.), Underwriting Agreement (Genprex, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any Subsidiary or, to the Company’s knowledge, any executive officer or director of the Company which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 5 contracts

Samples: Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Samples: Underwriting Agreement (Oranco Inc), Underwriting Agreement (Pixie Dust Technologies, Inc.), Underwriting Agreement (Pixie Dust Technologies, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaqCM.

Appears in 5 contracts

Samples: Underwriting Agreement (Professional Diversity Network, LLC), Underwriting Agreement (Kips Bay Medical, Inc.), Underwriting Agreement (Cancer Genetics, Inc)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which director, in his capacity as such, that has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Samples: Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, and which is resolved adversely to the Company would result in a Material Adverse Change or in connection with otherwise affect the Company’s listing application for ability to consummate the listing of the Public Securities on the ExchangeOffering.

Appears in 4 contracts

Samples: Underwriting Agreement (MAIA Biotechnology, Inc.), Underwriting Agreement (MAIA Biotechnology, Inc.), Underwriting Agreement (MAIA Biotechnology, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Samples: Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Samples: Underwriting Agreement (On Track Innovations LTD), Underwriting Agreement (Skystar Bio-Pharmaceutical Co), Underwriting Agreement (Cavico Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Offering Statement, the Pricing Disclosure Package Materials and the Prospectus Final Offering Circular or in connection with the Company’s 's listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 4 contracts

Samples: Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 4 contracts

Samples: Underwriting Agreement (Epsium Enterprise LTD), Underwriting Agreement (Zhibao Technology Inc.), Underwriting Agreement (Zhibao Technology Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange, and is required to be disclosed therein.

Appears in 4 contracts

Samples: Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Placement Shares on the Exchange.

Appears in 4 contracts

Samples: Underwriting Agreement (Shineco, Inc.), Underwriting Agreement (Shineco, Inc.), Underwriting Agreement (Shineco, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Materials, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaq Capital Market.

Appears in 4 contracts

Samples: Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending involving the Company or, to the Company’s knowledge, threatened againstagainst the Company, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange, and is required to be disclosed therein.

Appears in 4 contracts

Samples: Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.)

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Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the ExchangeNASDAQ Capital Market (“NASDAQ”).

Appears in 4 contracts

Samples: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive director or officer or director of the Company which has not been disclosed in the Questionnaires, Registration Statement, the Pricing Disclosure Package Sale Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Samples: Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 4 contracts

Samples: Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (HyreCar Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director Initial Stockholder which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 4 contracts

Samples: Underwriting Agreement (Phoenix India Acquisition Corp.), Underwriting Agreement (Phoenix India Acquisition Corp.), Underwriting Agreement (Phoenix India Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the ExchangeNasdaq Global Market.

Appears in 3 contracts

Samples: Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (Peak Resorts Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which that is required to be and has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities ADSs on the ExchangeNasdaq.

Appears in 3 contracts

Samples: Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is not disclosed therein.

Appears in 3 contracts

Samples: Underwriting Agreement (NeoStem, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (NeoStem, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any Subsidiary or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (Perfect Moment Ltd.), Underwriting Agreement (Perfect Moment Ltd.), Underwriting Agreement (Perfect Moment Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (Jerash Holdings (US), Inc.), Underwriting Agreement (Jerash Holdings (US), Inc.), Underwriting Agreement (Jerash Holdings (US), Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Samples: Placement Agent Agreement (Endurance Exploration Group, Inc.), Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on The NASDAQ Capital Market (the Exchange”).

Appears in 3 contracts

Samples: Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director director, which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD), Underwriting Agreement (SU Group Holdings LTD)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 3 contracts

Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp), Underwriting Agreement

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock and Warrant Shares on the Exchange.

Appears in 3 contracts

Samples: Placement Agency Agreement (Precision Therapeutics Inc.), Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Precision Therapeutics Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive Insider in his capacity as an officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Parametric Sound Corp), Underwriting Agreement (Parametric Sound Corp), Underwriting Agreement (Parametric Sound Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and which is required to be disclosed.

Appears in 3 contracts

Samples: Underwriting Agreement (Bridgeline Digital, Inc.), Underwriting Agreement (Bridgeline Digital, Inc.), Underwriting Agreement (Bridgeline Digital, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed in accordance with Item 103 of Regulation S-K that has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, or threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Placement Shares and the underlying ordinary shares issuable under the Over-Subscription Allowance on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (China SXT Pharmaceuticals, Inc.), Underwriting Agreement (China SXT Pharmaceuticals, Inc.), Underwriting Agreement (China SXT Pharmaceuticals, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing General Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Samples: Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened againstthreatened, against or involving the Company or, to the Company’s knowledge, any executive officer or director which that is required to be disclosed in the Registration Statement or Prospectus that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Photomedex Inc), Underwriting Agreement (Photomedex Inc), Underwriting Agreement (Photomedex Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any member of the Company Group or, to the Company’s knowledge, any executive officer or director which is required to be and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental government proceeding pending oror threatened against, or involving the Company which is expected to have a material adverse effect on the Company and has not, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Samples: Underwriting Agreement (HiTek Global Inc.), Underwriting Agreement (HiTek Global Inc.), Underwriting Agreement (SSLJ. COM LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending orpending, or to the Company’s knowledge, threatened against, against or involving the Company or, to the Company’s knowledge, or any executive officer Insider or director any stockholder or member of an Insider which has not been disclosed disclosed, that is required to be disclosed, in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 3 contracts

Samples: Underwriting Agreement (Empeiria Acquisition Corp), Underwriting Agreement (Empeiria Acquisition Corp), Underwriting Agreement (Empeiria Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledgethreatened, threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 3 contracts

Samples: Underwriting Agreement (Trident Digital Tech Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings Ltd.), Underwriting Agreement (Trident Digital Tech Holdings Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangedirector.

Appears in 3 contracts

Samples: Selling Agent Agreement, Selling Agent Agreement (Hightimes Holding Corp.), Selling Agent Agreement (Neurmedix, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director which that is required to be and has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Ordinary Shares on the ExchangeNasdaq.

Appears in 3 contracts

Samples: Underwriting Agreement (MDJM LTD), Underwriting Agreement (Agm Group Holdings, Inc.), Underwriting Agreement (Agm Group Holdings, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange, which if resolved adversely to the Company is reasonably likely to result in a Material Adverse Change.

Appears in 3 contracts

Samples: Underwriting Agreement (RumbleON, Inc.), Underwriting Agreement (RumbleON, Inc.), Underwriting Agreement (RumbleON, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities ADSs on the ExchangeNasdaq.

Appears in 2 contracts

Samples: Underwriting Agreement (Hexindai Inc.), Underwriting Agreement (Hexindai Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing trading of the Public Securities Shares on the ExchangeNYSE MKT.

Appears in 2 contracts

Samples: Underwriting Agreement (Timberline Resources Corp), Underwriting Agreement (Timberline Resources Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending involving the Company or, to the Company’s knowledge, threatened against, or involving against the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 2 contracts

Samples: Underwriting Agreement (Fly-E Group, Inc.), Underwriting Agreement (Fly-E Group, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any named executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus, which is required to be disclosed therein.

Appears in 2 contracts

Samples: Underwriting Agreement (Presidio Property Trust, Inc.), Underwriting Agreement (Presidio Property Trust, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, and which if resolved adversely to the Company would result in a Material Adverse Change or in connection with otherwise affect the Company’s listing application for ability to consummate the listing of the Public Securities on the ExchangeOffering.

Appears in 2 contracts

Samples: Underwriting Agreement (Azitra Inc), Underwriting Agreement (Azitra Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any member of the Company Group or, to the Company’s knowledge, any executive officer or director which is required to be and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 2 contracts

Samples: Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director director, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 2 contracts

Samples: Underwriting Agreement (Staffing 360 Solutions, Inc.), Underwriting Agreement (Staffing 360 Solutions, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Offering Statement, the Pricing Disclosure Package Materials and the Prospectus Final Offering Circular or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 2 contracts

Samples: Selling Agency Agreement (Level Brands, Inc.), Selling Agency Agreement (Level Brands, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any of the Company’s executive officer or director which has not been officers and directors, that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and Statutory Prospectus or the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeand which has not been disclosed therein.

Appears in 2 contracts

Samples: Underwriting Agreement (Dorchester Capital Acquisition Corp.), Underwriting Agreement (Dorchester Capital Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 2 contracts

Samples: Placement Agency Agreement (Moxian, Inc.), Placement Agency Agreement (Moxian, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened or contemplated against, involving any Company Entity or involving the any property of any Company Entity or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Eco-Stim Energy Solutions, Inc.), Underwriting Agreement (Eco-Stim Energy Solutions, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director director, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed.

Appears in 2 contracts

Samples: Underwriting Agreement (DERMAdoctor, Inc.), Underwriting Agreement (DERMAdoctor, LLC)

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