No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 34 contracts
Samples: Underwriting Agreement (Dutch Bros Inc.), Underwriting Agreement (Dutch Bros Inc.), Underwriting Agreement (Dutch Bros Inc.)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 32 contracts
Samples: Underwriting Agreement (Snow Lake Resources Ltd.), Underwriting Agreement (Snow Lake Resources Ltd.), Underwriting Agreement (Ryerson Holding Corp)
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 18 contracts
Samples: Terms Agreement (Carrols Restaurant Group, Inc.), Underwriting Agreement (J.Jill, Inc.), Underwriting Agreement (Purple Innovation, Inc.)
No Association with FINRA. Neither such Selling Stockholder the Company nor any of its affiliates directlyaffiliates, directly or indirectly through one or more intermediaries, controls, controls or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a with, any member (within the meaning of the FINRA By-Laws) firm of FINRA.
Appears in 12 contracts
Samples: Sales Agency Financing Agreement (Gaming & Leisure Properties, Inc.), Sales Agency Financing Agreement (Avalonbay Communities Inc), Sales Agency Financing Agreement (Gaming & Leisure Properties, Inc.)
No Association with FINRA. Neither There are no affiliations or associations between any member of FINRA “participating in the offering” and such Selling Stockholder nor any Shareholder, and none of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any the proceeds received by such Selling Shareholder from the sale of the Securities to be sold by such Selling Shareholder hereunder will be paid to a member firm of FINRA “participating in the offering” or is a any affiliate of (or person “associated with a member (within with,” as such terms are used in the meaning of the FINRA By-Laws) rules of FINRA) such member.
Appears in 11 contracts
Samples: Underwriting Agreement (CLARIVATE PLC), Underwriting Agreement (JELD-WEN Holding, Inc.), Underwriting Agreement (JELD-WEN Holding, Inc.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 10 contracts
Samples: Underwriting Agreement (Playa Hotels & Resorts N.V.), Underwriting Agreement (Granite Ridge Resources, Inc.), Underwriting Agreement (Playa Hotels & Resorts N.V.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates Affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 8 contracts
Samples: Underwriting Agreement (Allison Transmission Holdings Inc), Underwriting Agreement (Allison Transmission Holdings Inc), Underwriting Agreement (Allison Transmission Holdings Inc)
No Association with FINRA. Neither such Except as disclosed to the Representatives, neither the Selling Stockholder Shareholder nor any of its respective affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (National Australia Bank LTD), Underwriting Agreement (Great Western Bancorp, Inc.), Underwriting Agreement (National Australia Bank LTD)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directlyaffiliates, directly or indirectly indirectly, through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA, except for Blackstone Advisory Services L.P., Park Hill Group LLC and Park Hill Real Estate Group LLC.
Appears in 5 contracts
Samples: Underwriting Agreement (Team Health Holdings Inc.), Underwriting Agreement (Team Health Holdings Inc.), Underwriting Agreement (Team Health Holdings Inc.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 5 contracts
Samples: Underwriting Agreement (MP Materials Corp. / DE), Underwriting Agreement (Axonics Modulation Technologies, Inc.), MP Materials Corp. / DE
No Association with FINRA. Neither such Selling Stockholder nor any of its such Selling Stockholder’s affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 5 contracts
Samples: Underwriting Agreement (Byline Bancorp, Inc.), Purchase Agreement (Sabre Industries, Inc.), Purchase Agreement (Sabre Industries, Inc.)
No Association with FINRA. Neither Except as expressly disclosed to the Underwriters, such Selling Stockholder nor any of its affiliates directlydoes not, directly or indirectly indirectly, through one or more intermediaries, controlscontrol, is not controlled by or is controlled by, or is under common control with with, any member firm of FINRA or FINRA, and is not a person associated with a member (within the meaning of the FINRA By-Lawslaws) of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Warrior Met Coal, Inc.), Underwriting Agreement (Warrior Met Coal, Inc.), Underwriting Agreement (Warrior Met Coal, LLC)
No Association with FINRA. Neither such Selling Stockholder nor any of his/her/its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 4 contracts
Samples: Agreement (Montrose Environmental Group, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his/her/its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Surgery Partners, Inc.), Underwriting Agreement (Tubemogul Inc), Underwriting Agreement (Enzymotec Ltd.)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 4 contracts
Samples: Fox Factory Holding Corp, Fox Factory Holding Corp, Fox Factory Holding Corp
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates Affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 4 contracts
Samples: Underwriting Agreement (Fresh Market, Inc.), Purchase Agreement (Fresh Market, Inc.), Underwriting Agreement (Fresh Market, Inc.)
No Association with FINRA. Neither such Except as disclosed in the General Disclosure Package and the Prospectus, neither the Selling Stockholder nor any of its controlled affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.), Underwriting Agreement (Equity One, Inc.)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a “person associated with a member member” (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Wright Medical Group N.V.), Underwriting Agreement (Wright Medical Group N.V.), Purchase Agreement (Tornier N.V.)
No Association with FINRA. Neither such the Selling Stockholder nor any of its his affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Shutterstock, Inc.), Underwriting Agreement (LendingTree, Inc.), Underwriting Agreement (Acadia Healthcare Company, Inc.)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA, except for Xxxxxxx Securities LLC and Funds Distributor, LLC, which will not participate in this offering within the meaning of FINRA Rule 5110.
Appears in 3 contracts
Samples: Underwriting Agreement (OM Asset Management PLC), Underwriting Agreement (OM Asset Management PLC), Underwriting Agreement (OM Asset Management PLC)
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is are controlled by, or is are under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Landsea Homes Corp), Underwriting Agreement (Landsea Homes Corp), Underwriting Agreement
No Association with FINRA. Neither such the Selling Stockholder Stockholders nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is are controlled by, or is are under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (BrightSpire Capital, Inc.), Underwriting Agreement (DigitalBridge Group, Inc.), Underwriting Agreement (BrightSpire Capital, Inc.)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of FINRA.the Financial Industry Regulatory Authority, Inc.), any member firm of the Financial Industry Regulatory Authority, Inc.
Appears in 2 contracts
Samples: Purchase Agreement (Orexigen Therapeutics, Inc.), Underwriting Agreement (Iconix Brand Group, Inc.)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. (“FINRA”)), any member firm of FINRA.
Appears in 2 contracts
Samples: Purchase Agreement (Lincoln Educational Services Corp), Purchase Agreement (Lincoln Educational Services Corp)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA FINRA, or is a person associated with a member (within the meaning of the FINRA By-Lawslaws) of FINRA, except for Apollo Global Securities, LLC, which will not be participating in any sale of the Securities pursuant to the Registration Statement, the General Disclosure Package or the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Noranda Aluminum Holding CORP), Underwriting Agreement (Noranda Aluminum Holding CORP)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of the FINRA By-Laws) ), any member firm of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Hudson Pacific Properties, Inc.), Hudson Pacific Properties, Inc.
No Association with FINRA. Neither There are no affiliations or associations between any member of FINRA “participating in the offering” and such Selling Stockholder, and none of the proceeds received by such Selling Stockholder nor any from the sale of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any the Securities to be sold by such Selling Stockholder hereunder will be paid to a member firm of FINRA “participating in the offering” or is a any affiliate of (or person “associated with a member (within with,” as such terms are used in the meaning of the FINRA By-Laws) rules of FINRA) such member.
Appears in 2 contracts
Samples: Underwriting Agreement (Emerald Expositions Events, Inc.), Underwriting Agreement (Emerald Expositions Events, Inc.)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of the FINRA), any member firm of FINRA.
Appears in 2 contracts
Samples: Purchase Agreement (Colfax CORP), Purchase Agreement (Colfax CORP)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA, except for Xxxxxxx Securities LLC, which will not participate in this offering within the meaning of FINRA Rule 5110.
Appears in 2 contracts
Samples: Underwriting Agreement (OM Asset Management PLC), Underwriting Agreement (OM Asset Management LTD)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-LawsBylaws) of FINRA.
Appears in 2 contracts
Samples: Agreement (Intapp, Inc.), Underwriting Agreement (Intapp, Inc.)
No Association with FINRA. Neither such the Selling Stockholder nor any of its his, her or its, as applicable, affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Blue Bird Corp), Blue Bird Corp
No Association with FINRA. Neither Except as disclosed in writing to the Representatives, neither such Selling Stockholder nor any of his/her/its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (WisdomTree Investments, Inc.), Underwriting Agreement (WisdomTree Investments, Inc.)
No Association with FINRA. Neither such Except for OCM Investments, LLC and Brookfield Oaktree Wealth Solutions, LLC, neither the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (TORM PLC), Underwriting Agreement (Oaktree Capital Group Holdings GP, LLC)
No Association with FINRA. Neither such Selling Stockholder nor any of its his, her or its, as applicable, affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Blue Bird Corp), Blue Bird Corp
No Association with FINRA. Neither Except as disclosed by such Selling Stockholder Shareholders in the Form of Selling Securityholder Notice and Questionnaire as provided to the Company on the date hereof, neither such Selling Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Triton International LTD), Underwriting Agreement (Triton International LTD)
No Association with FINRA. Neither such the Selling Stockholder Unitholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (World Point Terminals, LP), Underwriting Agreement (World Point Terminals, LP)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its their affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Arhaus, Inc.), Underwriting Agreement (Arhaus, Inc.)
No Association with FINRA. Neither Except as disclosed in writing to the Representatives, neither such Selling Stockholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (William Lyon Homes), Underwriting Agreement (William Lyon Homes)
No Association with FINRA. Neither Except as previously disclosed to the Representatives, neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Purchase Agreement (Mitel Networks Corp), Purchase Agreement (Mitel Networks Corp)
No Association with FINRA. Neither such No Selling Stockholder Shareholder nor any of its their respective affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Venator Materials PLC), Underwriting Agreement (Venator Materials PLC)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA, except as previously disclosed in writing to the Representative’s counsel.
Appears in 2 contracts
Samples: Underwriting Agreement (Colfax CORP), Underwriting Agreement (BDT Capital Partners, LLC)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his/her/its affiliates directly, directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates Affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of the FINRA), any member firm of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (American Capital Agency Corp)
No Association with FINRA. Neither such Selling Stockholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither To the Selling Shareholder’s knowledge, neither such Selling Stockholder Shareholder nor any of its their affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its such Selling Shareholder’s affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA the Financial Industry Regulatory Authority, Inc. (“FINRA”) or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither Except as described in the FINRA Questionnaire provided by such Selling Shareholder, neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I(rr) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. (“FINRA”)), any member firm of FINRA, except as disclosed in such Selling Stockholder’s questionnaire.
Appears in 1 contract
No Association with FINRA. Neither such Other Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a any member (within the meaning of the FINRA By-Laws) firm of FINRA, except as already disclosed in writing to the Representatives.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Unitholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Lawslaws of the Financial Industry Regulatory Authority, Inc. (“FINRA”)) any member firm of FINRA. For purposes of this Section 1(b)(ix), affiliate shall refer to a person which controls, is controlled by or is under common control with another person.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor the Parent, nor any of its their respective affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Hanson Building Products LTD)
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor to its knowledge any of its controlled affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Loma Negra Compania Industrial Argentina Sociedad Anonima)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. (“FINRA”)), any member firm of FINRA, except as disclosed in such Selling Stockholder’s questionnaire.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his/her/its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a with, any member (within firm of FINRA, except as set forth in the meaning of Registration Statement, the General Disclosure Package and the Prospectus or as set forth in the FINRA By-Laws) Questionnaire completed by such Selling Shareholder and delivered to the Representative prior to the date of FINRAthis Agreement.
Appears in 1 contract
Samples: Underwriting Agreement (ChinaCache International Holdings Ltd.)
No Association with FINRA. Neither Except as disclosed in the General Disclosure Package and the Prospectus, neither such Selling Stockholder nor any of its controlled affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates the Trustee directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with with, any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Simon Property Group Inc /De/)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its his affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of his/her/its affiliates directlyaffiliates, directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a any member (within the meaning of the FINRA By-Laws) firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates trustee directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its his, her or its, as the case may be, affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any participating member firm (within the meaning of the FINRA rules) of FINRA or is a person associated with a participating member (within the meaning of the FINRA By-Lawsrules) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I(T) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its their respective affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Bowman Consulting Group Ltd.)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Lawslaws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Inspire Medical Systems, Inc.)
No Association with FINRA. Neither Except as disclosed in the General Disclosure Package and the Prospectus, such Selling Stockholder nor Shareholder is not an affiliate of any of its affiliates FINRA member, and, directly, or indirectly indirectly, through one or more intermediaries, controlsdoes not control, or is not controlled by, or and is not under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA).
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directlyhis affiliates, directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directlyaffiliates, directly or indirectly through one or more intermediaries, controls, controls or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a with, any member (within the meaning of the FINRA By-Laws) firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directlyaffiliates, directly or indirectly indirectly, through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA, except for Blackstone Advisory Services L.P., Park Hill Group LLC and Park Hill Real Estate Group LLC.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its their affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA., other than Victory Capital Services, Inc..
Appears in 1 contract
Samples: Underwriting Agreement (Victory Capital Holdings, Inc.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA FINRA, or is a person associated with a member (within the meaning of the FINRA By-Lawslaws) of FINRA, except for Apollo Global Securities, LLC and Xxxxxx Xxxxxx TriArtisan Group Inc., neither of whom will be participating in any sale of the Securities pursuant to the Registration Statement, the General Disclosure Package or the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (Noranda Aluminum Holding CORP)
No Association with FINRA. Neither such Selling Stockholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. (“FINRA”)), any member firm of FINRA.
Appears in 1 contract
Samples: Form of Underwriting Agreement (American Capital Agency Corp)
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, There are no affiliations or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with associations between any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Lawsand such Selling Shareholder. None of the proceeds received by such Selling Shareholder from the sale of the Securities to be sold by such Selling Shareholder hereunder will be paid to a member of the FINRA or any affiliate of (or person “associated with,” as such terms are used in the rules of the FINRA) of FINRAsuch member.
Appears in 1 contract
Samples: Underwriting Agreement (Funtalk China Holdings LTD)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I(T) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. ( “FINRA”)), any member firm of FINRA.
Appears in 1 contract
Samples: Purchase Agreement (Lincoln Educational Services Corp)
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates Affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its their affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: CarParts.com, Inc.
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a “person associated with a member member” (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Purchase Agreement (Tornier N.V.)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-LawsBylaws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Gushan Environmental Energy LTD)
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of his, her or its (as applicable) affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither Except as disclosed in writing to the Underwriter, neither such Selling Stockholder nor any of his, her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its his or her affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Perry Ellis International Inc
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its his affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither To such Selling Stockholder Shareholder’s knowledge, neither such Selling Shareholder nor any of her or its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (rr) of the FINRA By-Laws) laws of the Financial Industry Regulatory Authority, Inc. ( “FINRA”)), any member firm of FINRA.
Appears in 1 contract
Samples: Employment Agreement (Lincoln Educational Services Corp)
No Association with FINRA. Neither such the Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I of the FINRA By-Laws) laws of FINRA), any member firm of FINRA.
Appears in 1 contract
Samples: Safe Bulkers, Inc.
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its the affiliates of such Selling Shareholder directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of the FINRA), any member firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither Except as set forth in Schedule E hereto, neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Masergy Communications Inc)
No Association with FINRA. Neither Except with respect to Selling Shareholders named in Schedule D hereto, neither such Selling Stockholder Shareholder nor any of his/her/its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I(T) of the FINRA By-Laws) laws of FINRA), any member firm of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such the Selling Stockholder Shareholder nor any of its affiliates affiliates, directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA with, or is a person associated with a member (within the meaning of Article I (dd) of the FINRA By-Laws) laws of FINRA) any member firm of FINRA, excluding the Company and its affiliates.
Appears in 1 contract
Samples: Purchase Agreement (Broadpoint Gleacher Securities Group, Inc.)
No Association with FINRA. Neither such Selling Stockholder nor any affiliate of its affiliates such Selling Stockholder directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA FINRA, or is a person associated with a member (within the meaning of the FINRA By-Lawslaws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its controlled affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRAFINRA except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 1 contract
Samples: Underwriting Agreement (ATD Corp)
No Association with FINRA. Neither Except as disclosed in Schedule [—] hereto, neither such Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
No Association with FINRA. Neither such Selling Stockholder Shareholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with with, any member firm of FINRA or is a person associated with a member (within the meaning of the FINRA By-Laws) of FINRA.
Appears in 1 contract
