No Association with FINRA. Except as disclosed to the Underwriters in the questionnaire regarding FINRA affiliations completed by the Selling Stockholder and delivered to the Underwriters, 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 3 contracts
Samples: Underwriting Agreement (Control4 Corp), Underwriting Agreement (E2open Inc), Underwriting Agreement (E2open Inc)
No Association with FINRA. Except as disclosed to the Underwriters in the questionnaire regarding FINRA affiliations completed by the Selling Stockholder and delivered to the UnderwritersQuestionnaire, 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 (Angie's List, Inc.), Underwriting Agreement (Angie's List, Inc.)
No Association with FINRA. Except as disclosed to the Underwriters in the questionnaire regarding FINRA affiliations completed by the Selling Stockholder and delivered to the Underwriters, 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 (Intercept Pharmaceuticals Inc), Underwriting Agreement (Intercept Pharmaceuticals Inc)
No Association with FINRA. Except as disclosed on Schedule F or as disclosed in writing to the Underwriters in the questionnaire regarding FINRA affiliations completed by the Selling Stockholder and delivered to the UnderwritersUnderwriter, neither such Selling Stockholder nor any of his/her/, 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. Except as disclosed to the Underwriters in the completed FINRA questionnaire regarding FINRA affiliations completed by the Selling Stockholder and delivered to counsel for the Underwriters, neither such Selling Stockholder Shareholder nor any of his/her/, 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
Samples: Underwriting Agreement (Coty Inc /)
No Association with FINRA. Except Other than as disclosed in the FINRA Questionnaire for Directors, Officers and Certain Equityholders provided by such Selling Shareholder to counsel for the Underwriters in (the questionnaire regarding “FINRA affiliations completed by the Selling Stockholder and delivered to the UnderwritersQuestionnaire”), 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
Samples: Purchase Agreement (Ameresco, Inc.)
