NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 19 contracts
Samples: Placement Agent Agreement (Pluristem Therapeutics Inc), Placement Agent Agreement (Peregrine Pharmaceuticals Inc), Placement Agent Agreement (Pluristem Therapeutics Inc)
NASD Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between any member of the NASD member firm among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Companysecurity holders, except as set forth in the Base ProspectusRegistration Statement.
Appears in 4 contracts
Samples: Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Banuestra Financial CORP), Underwriting Agreement (Banuestra Financial CORP)
NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.
Appears in 3 contracts
Samples: Placement Agent Agreement (Biomira CORP), Agreement and Plan of Reorganization (Biomira Inc), Placement Agent Agreement (Vasogen Inc)
NASD Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between any member of the NASD member firm among and any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Companysecurityholders, except as set forth in the Base Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Aries Maritime Transport LTD), Underwriting Agreement (Genco Shipping & Trading LTD)
NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 1 contract
Samples: Placement Agent Agreement (Mechanical Technology Inc)
NASD Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between (i) any NASD member firm among of the NASD, and (ii) the Company or any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder of the Company, except as set forth in the Base Prospectussecurityholders.
Appears in 1 contract
NASD Affiliations. There To the Company’s knowledge, there are no affiliations with or associations between (i) any member of the NASD member firm among and (ii) the Company or any of the Company’s officers, directors or, to the knowledge of the Company, any five percent (or 5%) % or greater stockholder securityholders (other than Bxxxxxx Hxxx Partners, a division of the CompanyPali Capital, except as set forth in the Base ProspectusInc. and Antaeus Capital, Inc.).
Appears in 1 contract
Samples: Placement Agency Agreement (Adventrx Pharmaceuticals Inc)
NASD Affiliations. There are no affiliations with any the NASD member firm among the Company’s officers, directors or, to the best of the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base ProspectusRegistration Statement or the Prospectus or otherwise disclosed in writing to the Placement Agents.
Appears in 1 contract
NASD Affiliations. There are no affiliations with any the NASD member firm among the Company’s officers, directors or, to the best knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base ProspectusRegistration Statement or otherwise disclosed in writing to the Representatives.
Appears in 1 contract
NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s officers, directors officers or, to the knowledge of the Company, any five percent (5%) or greater stockholder director of the Company, except as set forth in the Base Prospectus.
Appears in 1 contract
Samples: Placement Agent Agreement (Mfri Inc)
NASD Affiliations. There To the Company’s knowledge, there are no affiliations with any NASD member firm among the Company’s officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder of the Company, except as set forth in the Base Prospectus.
Appears in 1 contract
NASD Affiliations. There are no affiliations with any NASD member firm among the Company’s 's officers, directors or, to the knowledge of the Company, any five percent (5%) or greater stockholder shareholder of the Company, except as set forth in the Base Prospectus.. Vasogen, Inc. 5/3/2007 Page 11
Appears in 1 contract
