NASD Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of the NASD and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Agency Agreement (Cytori Therapeutics, Inc.), Agency Agreement (Cytori Therapeutics, Inc.)
NASD Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of the NASD and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 1 contract
Samples: Placement Agency Agreement (Emisphere Technologies Inc)
NASD Affiliations. To Except as set forth in the General Disclosure Package, to the Company’s knowledge, there are no affiliations or associations between (i) any member of the NASD and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred and eightieth (180th) day immediately preceding the date of the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 1 contract
NASD Affiliations. To the Company’s knowledge, there are no affiliations or associations between (i) any member of the NASD and (ii) the Company or any of the Company’s officers, directors or 5% or greater securityholders (other than Xxxx Xxxxxx and Xxxxxx Securities LLC) or any beneficial owner of the Company’s unregistered equity securities that were acquired from the Company at any time on or after the one hundred eightieth (180th) day immediately preceding the date the Registration Statement was initially filed with the Commission, except as set forth in the Registration Statement, the Disclosure Package Prospectus and the ProspectusDisclosure Package.
Appears in 1 contract
Samples: Purchase Agreement (Utek Corp)