NASD Matters. (a) State below whether (i) you or any associate or affiliate of yours are a member of the NASD, a controlling shareholder of an NASD member, a person associated with a member, a direct or indirect affiliate of a member, or an underwriter or related person with respect to the proposed offering; (ii) you or any associate or affiliate of yours owns any stock or other securities of any NASD member not purchased in the open market; or (iii) you or any associate or affiliate of yours has made any outstanding subordinated loans to any NASD member. If you are a general or limited partnership, a no answer asserts that no such relationship exists for you as well as for each of your general or limited partners.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Dyadic International Inc), Securities Purchase Agreement (OccuLogix, Inc.), Convertible Promissory Note Purchase Agreement (Alseres Pharmaceuticals Inc /De)
NASD Matters. (a) State below whether (i) you or any associate or affiliate of yours are a member of the NASD, a controlling shareholder of an NASD member, a person Person associated with a member, a direct or indirect affiliate of a member, or an underwriter or related person Person with respect to the proposed offering; (ii) you or any associate or affiliate of yours owns any stock or other securities of any NASD member not purchased in the open market; or (iii) you or any associate or affiliate of yours has made any outstanding subordinated loans to any NASD member. If you are a general or limited partnership, a no answer asserts that no such relationship exists for you as well as for each of your general or limited partners.
Appears in 1 contract
Samples: Securities Purchase Agreement (Dyadic International Inc)
