Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns. (b) Is the Selling Securityholder a registered broker-dealer? Yes No State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes No
Appears in 6 contracts
Samples: Registration Rights Agreement (American Tower Corp /Ma/), Registration Rights Agreement (American Tower Corp /Ma/), Registration Rights Agreement (American Tower Corp /Ma/)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority majority-owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity Selling Securityholder is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity Selling Securityholder is not any of the above, identify the natural person or persons having voting and investment control over the Company’s or any Guarantor’s securities that the entity Selling Securityholder owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes o No o State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and and, if so, list the name(s) of the broker-dealer affiliate(s). Yes o No o If the answer is “Yes,” you must answer the following: If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes o No o If the answer is “No,” state any exceptions here: If the answer is ”No,” this may affect your ability to be included in the registration statement.
Appears in 4 contracts
Samples: Indenture (Nortel Networks Corp), Indenture (Nortel Networks LTD), Indenture (Nortel Networks Corp)
Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes No State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes No If the answer is “Yes,” you must answer the following: If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes No If the answer is “No”, state any exceptions here: If the answer is “No,” this may affect your ability to be included in the registration statement.
Appears in 3 contracts
Samples: Registration Rights Agreement, Registration Rights Agreement (PSS World Medical Inc), Registration Rights Agreement (Saks Inc)
Nature of the Selling Securityholder. (a) Identify any natural person or other persons having voting and investment control over the Company securities owned by the Selling Securityholder. Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? ¨ Yes ¨ No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. ¨ Yes ¨ No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business business, and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. ¨ Yes ¨ No
Appears in 2 contracts
Samples: Registration Rights Agreement (Headwaters Inc), Registration Rights Agreement (Headwaters Inc)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act Act, or a registered investment company under the Investment Company Act? If , and if so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s 's securities that the entity owns.
(b) Is the Selling Securityholder is a registered broker-dealer? . Yes ____ No ____ State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes ____ No ____ IF THE ANSWER IS "YES," YOU MUST ANSWER THE FOLLOWING: If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes ____ No ____ If the answer is "No", state any exceptions here: IF THE ANSWER IS "NO," THIS MAY AFFECT YOUR ABILITY TO BE INCLUDED IN THE REGISTRATION STATEMENT.
Appears in 2 contracts
Samples: Registration Rights Agreement (International Game Technology), Registration Rights Agreement (International Game Technology)
Nature of the Selling Securityholder. (a) Identify any natural person or other person having voting and investment control over the Company securities owned by the Selling Securityholder. Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? ¨ Yes ¨ No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. ¨ Yes ¨ No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business business, and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. ¨ Yes ¨ No
Appears in 2 contracts
Samples: Registration Rights Agreement (Cell Therapeutics Inc), Registration Rights Agreement (Cell Therapeutics Inc)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business business, and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes No If the answer is “No”, state any exceptions here:
Appears in 1 contract
Samples: Registration Rights Agreement (Cell Therapeutics Inc)
Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s 's securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes ____ No ____ State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes ____ No ____ IF THE ANSWER IS "YES," YOU MUST ANSWER THE FOLLOWING: If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes ____ No ____ If the answer is "No", state any exceptions here: IF THE ANSWER IS "NO," THIS MAY AFFECT YOUR ABILITY TO BE INCLUDED IN THE REGISTRATION STATEMENT.
Appears in 1 contract
Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes ¨ No ¨ State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes ¨ No ¨ If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes No¨ No ¨
Appears in 1 contract
Samples: Registration Rights Agreement (American Tower Corp /Ma/)
Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes No State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes No If the answer is “No”, state any exceptions here:
Appears in 1 contract
Samples: Registration Rights Agreement (American Tower Corp /Ma/)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act Act, or a registered investment company under the Investment Company Act? If , and if so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities of BearingPoint that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes ¨ Yes* No ¨ State whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes ¨ Yes* No If ¨ Were the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Transfer Restricted Securities (i) purchased in the ordinary course of business and (ii) at business? ¨ Yes* No ¨ At the time of the purchase of the Registrable Transfer Restricted Securities, had no did the Selling Securityholder have any agreements or understandings, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes No¨ Yes* No ¨
Appears in 1 contract
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act Act, or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder is a registered broker-dealer? Yes o No State o If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For purposes of this Item 6(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by any of their affiliates. Yes o No o If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes Noo No o
Appears in 1 contract
Samples: Resale Registration Rights Agreement (Vertex Pharmaceuticals Inc / Ma)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act Act, or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder is a registered broker-dealer? Yes No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For purposes of this Item 6(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by any of their affiliates. Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes No
Appears in 1 contract
Samples: Registration Rights Agreement (Vertex Pharmaceuticals Inc / Ma)
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act Act, or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of or a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes No If the answer is “No”, state any exceptions here:
Appears in 1 contract
Nature of the Selling Securityholder. (a) A. Identify any natural person or other person having voting and investment control over the Company securities owned by the Selling Securityholder. Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) B. Is the Selling Securityholder a registered broker-dealer? Yes No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. Yes No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business business, and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. Yes No
Appears in 1 contract
Samples: Registration Rights Agreement (Cell Therapeutics Inc)
Nature of the Selling Securityholder. (a) Is the selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? Yes o No o State whether the Selling Securityholder received the Registrable Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). Yes o No o If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, the Registrable Securities (i) in the ordinary course of business and (ii) at the time of the purchase of the Registrable Securities, had no agreements or understandings, directly or indirectly, with any person to distribute the Registrable Securities. Yes o No o If the answer is “No”, state any exceptions here:
Appears in 1 contract
Nature of the Selling Securityholder. (a) Is the selling Selling Securityholder a reporting company under the Securities Exchange Act, a majority owned subsidiary of a reporting company under the Securities Exchange Act or a registered investment company under the Investment Company Act? If so, please state which one. If the entity is a majority owned subsidiary of a reporting company, identify the majority stockholder that is a reporting company. If the entity is not any of the above, identify the natural person or persons having voting and investment control over the Company’s securities that the entity owns.
(b) Is the Selling Securityholder a registered broker-dealer? ¨ Yes ¨ No State If yes, state whether the Selling Securityholder received the Registrable Transfer Restricted Securities as compensation for underwriting activities and, if so, provide a brief description of the transaction(s) involved. State whether the Selling Securityholder is an affiliate of a broker-dealer and if so, list the name(s) of the broker-dealer affiliate(s). For the purposes of this Item VI(b), an “affiliate” of a broker-dealer includes any company that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, such broker-dealer, and does not include individuals employed by any such broker-dealers or by their affiliates. ¨ Yes ¨ No If the Selling Securityholder is an affiliate of a registered broker-dealer, the Selling Securityholder purchased, purchased the Registrable Transfer Restricted Securities (i) in the ordinary course of business business, and (ii) at the time of the purchase of the Registrable Transfer Restricted Securities, had no agreements or understandingsunderstanding, directly or indirectly, with any person to distribute the Registrable Transfer Restricted Securities. ¨ Yes ¨ No
Appears in 1 contract
Samples: Conversion and Placement Agreement (Cell Therapeutics Inc)