No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 29 contracts
Samples: Common Stock Sales Agreement (Avidity Biosciences, Inc.), Underwriting Agreement (Jasper Therapeutics, Inc.), Underwriting Agreement (Aura Biosciences, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the knowledge of the Company, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 9 contracts
Samples: Sales Agreement (Albireo Pharma, Inc.), Sales Agreement (Albireo Pharma, Inc.), Underwriting Agreement (X4 Pharmaceuticals, Inc)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 9 contracts
Samples: Underwriting Agreement (Maxcyte, Inc.), Aeglea BioTherapeutics, Inc., Underwriting Agreement (Viveve Medical, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (AN2 Therapeutics, Inc.), Underwriting Agreement (Interactive Strength, Inc.), Underwriting Agreement (Interactive Strength, Inc.)
No Associated Persons; FINRA Matters. Neither the The Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) does not directly or indirectly controlscontrol, is not controlled by, or is not under common control with, or is not an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (Sutro Biopharma, Inc.), Underwriting Agreement (Sutro Biopharma, Inc.), Underwriting Agreement (Sutro Biopharma, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. Any certificate signed by or on behalf of the Company and delivered to the Representatives or to counsel for the Underwriters shall be deemed to be a representation and warranty by the Company to each Underwriter as to the matters covered thereby.
Appears in 4 contracts
Samples: Underwriting Agreement (Adverum Biotechnologies, Inc.), Underwriting Agreement (Albireo Pharma, Inc.), Underwriting Agreement (Cryoport, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Nkarta, Inc.), Underwriting Agreement (Nkarta, Inc.), Sales Agreement (Nkarta, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor to the Company’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (AerSale Corp), Underwriting Agreement (AerSale Corp), Underwriting Agreement (AerSale Corp)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. The Company meets the definition of an “experienced issuer” under FINRA Rule 5110(j)(6).
Appears in 3 contracts
Samples: Underwriting Agreement (EyePoint Pharmaceuticals, Inc.), Underwriting Agreement (EyePoint Pharmaceuticals, Inc.), Underwriting Agreement (EyePoint Pharmaceuticals, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA, other than as described on Schedule D hereof.
Appears in 3 contracts
Samples: Underwriting Agreement (VectoIQ Acquisition Corp.), Underwriting Agreement (VectoIQ Acquisition Corp.), Underwriting Agreement (VectoIQ Acquisition Corp.)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRAFINRA , other than as described on Schedule D hereof.
Appears in 3 contracts
Samples: Underwriting Agreement (GigCapital, Inc.), Underwriting Agreement (GigCapital, Inc.), Underwriting Agreement (GigCapital, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1(rr) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 3 contracts
Samples: Sales Agreement (COMPASS Pathways PLC), Underwriting Agreement (COMPASS Pathways PLC), Underwriting Agreement (COMPASS Pathways PLC)
No Associated Persons; FINRA Matters. Neither Except as disclosed to the Company nor Representatives, neither i3 Verticals Party nor, to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (I3 Verticals, Inc.), Underwriting Agreement (I3 Verticals, Inc.), Underwriting Agreement (I3 Verticals, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRAFINRA other than as described on Schedule D hereof.
Appears in 2 contracts
Samples: Underwriting Agreement (Atreca, Inc.), Underwriting Agreement (Atreca, Inc.)
No Associated Persons; FINRA Matters. Neither Except as disclosed to the Representatives, to the Company’s knowledge, neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA, other than as described on Schedule E hereof.
Appears in 2 contracts
Samples: Underwriting Agreement (Greenlane Holdings, Inc.), Underwriting Agreement (Greenlane Holdings, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. The Company is an “experienced issuer” within the meaning of FINRA Rule 5110(j)(6).
Appears in 2 contracts
Samples: Underwriting Agreement (ClearPoint Neuro, Inc.), Underwriting Agreement (ClearPoint Neuro, Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to its knowledge, any of its affiliates (within the meaning of FINRA the Financial Industry Regulatory Authority (“FINRA”) Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 2 contracts
Samples: The Market Offering Agreement (CAPSTONE TURBINE Corp), Sales Agreement (CAPSTONE TURBINE Corp)
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (908 Devices Inc.), Underwriting Agreement (908 Devices Inc.)
No Associated Persons; FINRA Matters. Neither Except as disclosed to the Representatives, to the Company’s knowledge, neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor nor, to it’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA. In accordance with FINRA Conduct Rule 5110(j)(6), the Placement Shares have been registered with the Commission on Form S-3 under the Securities Act.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor nor, to its knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1(rr) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA, other than as described on Schedule E hereof.
Appears in 1 contract
Samples: Underwriting Agreement (Praxis Precision Medicines, Inc.)
No Associated Persons; FINRA Matters. Neither the Company Corporation nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company Company, nor to the knowledge of the Company, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Transition Therapeutics Inc.)
No Associated Persons; FINRA Matters. Neither the Company nor to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA, other than as described on Schedule D hereof.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor nor, to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRAFINRA other than as described on Schedule E hereof.
Appears in 1 contract
No Associated Persons; FINRA Matters. Neither the Company nor any of its Subsidiaries nor, to the Company’s Knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-laws of FINRA) of, any member firm of FINRA.
Appears in 1 contract
