No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 82 contracts
Samples: Underwriting Agreement (Americas Carmart Inc), Underwriting Agreement (Dorian LPG Ltd.), Underwriting Agreement (Iovance Biotherapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 67 contracts
Samples: Open Market Sale Agreement (Palladyne AI Corp.), Open Market Sale Agreement (Kymera Therapeutics, Inc.), Open Market Sale Agreement (Vivani Medical, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 61 contracts
Samples: Underwriting Agreement (Perceptive Capital Solutions Corp), Underwriting Agreement (Perceptive Capital Solutions Corp), Underwriting Agreement (Oaktree Acquisition Corp. III Life Sciences)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 31 contracts
Samples: Underwriting Agreement (Liquidia Corp), Underwriting Agreement (Travere Therapeutics, Inc.), Underwriting Agreement (Addus HomeCare Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither None of the Company nor Company, the Sponsor, or, to the knowledge of the Company, any of its subsidiaries their respective officers or directors, has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 29 contracts
Samples: Underwriting Agreement (Osiris Acquisition Corp.), Underwriting Agreement (Osiris Acquisition Corp.), Underwriting Agreement (Research Alliance Corp. II)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 28 contracts
Samples: Underwriting Agreement (Arcellx, Inc.), Underwriting Agreement (Fate Therapeutics Inc), Underwriting Agreement (Arcellx, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 18 contracts
Samples: Open Market Sale Agreement (Travere Therapeutics, Inc.), Open Market Sale Agreement (ESSA Pharma Inc.), Open Market Sale Agreement (Inotiv, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Underwriters, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 17 contracts
Samples: Underwriting Agreement (Codiak BioSciences, Inc.), Underwriting Agreement (Bellerophon Therapeutics, Inc.), Underwriting Agreement (Xeris Pharmaceuticals Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Underwriters, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 16 contracts
Samples: Underwriting Agreement (Morphic Holding, Inc.), Underwriting Agreement (Silvaco Group, Inc.), Underwriting Agreement (Tourmaline Bio, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 13 contracts
Samples: Underwriting Agreement (Liquidia Technologies Inc), Underwriting Agreement (Liquidia Technologies Inc), Underwriting Agreement (Corium International, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 13 contracts
Samples: Underwriting Agreement (Ardelyx, Inc.), Underwriting Agreement (Marinus Pharmaceuticals Inc), Underwriting Agreement (Marinus Pharmaceuticals Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 11 contracts
Samples: Underwriting Agreement (Cti Biopharma Corp), Underwriting Agreement (Synta Pharmaceuticals Corp), Underwriting Agreement (Synta Pharmaceuticals Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Shares, as applicable, or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Shares, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 10 contracts
Samples: Underwriting Agreement (Western Copper & Gold Corp), Underwriting Agreement (Denison Mines Corp.), Underwriting Agreement (Western Copper & Gold Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Shares, as applicable, or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Common Shares, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 10 contracts
Samples: Underwriting Agreement (Hydrogenics Corp), Underwriting Agreement (Neptune Technologies & Bioressources Inc.), Underwriting Agreement (Dragonwave Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Shares, as applicable, or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Units, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 10 contracts
Samples: Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Vista Gold Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 9 contracts
Samples: Underwriting Agreement (Cachet Financial Solutions, Inc.), Underwriting Agreement (Cachet Financial Solutions, Inc.), Underwriting Agreement (Cachet Financial Solutions, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiary has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 8 contracts
Samples: Underwriting Agreement (National Storage Affiliates Trust), Underwriting Agreement (National Storage Affiliates Trust), Underwriting Agreement (National Storage Affiliates Trust)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectlyindirectly (without giving any effect to the activities by the Underwriters), any action designed to or that might cause or result in stabilization or manipulation of the price of the Offered Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Offered Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 8 contracts
Samples: Underwriting Agreement (Affimed N.V.), Underwriting Agreement (Affimed N.V.), Underwriting Agreement (Affimed N.V.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries nor any of their respective directors, officers, affiliates or controlling persons has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Placement Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 7 contracts
Samples: Equity Distribution Agreement (American Realty Capital Properties, Inc.), Equity Distribution Agreement (American Realty Capital Properties, Inc.), Equity Distribution Agreement (American Realty Capital Properties, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 7 contracts
Samples: Open Market Sale Agreement (Rigel Pharmaceuticals Inc), Open Market Sale Agreement (Vigil Neuroscience, Inc.), Open Market Sale Agreement (Arrowhead Pharmaceuticals, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Offered Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Offered Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 7 contracts
Samples: Underwriting Agreement (uniQure N.V.), Underwriting Agreement (uniQure N.V.), Underwriting Agreement (Parnell Pharmaceuticals Holdings LTD)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares shares of Common Stock or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Sharesshares of Common Stock, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Underwriting Agreement (Heron Therapeutics, Inc. /De/), Underwriting Agreement (Heron Therapeutics, Inc. /De/), Underwriting Agreement (Heron Therapeutics, Inc. /De/)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Ordinary Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Ordinary Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Open Market Sale Agreement (Alvotech), Open Market Sale Agreement (Avadel Pharmaceuticals PLC), Open Market Sale Agreement (Rockley Photonics Holdings LTD)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectlyindirectly (without giving any effect to the activities of the Underwriters), any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Underwriting Agreement (Auris Medical Holding Ltd.), Underwriting Agreement (Auris Medical Holding Ltd.), Underwriting Agreement (Auris Medical Holding Ltd.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither None of the Company nor Company, the Sponsor, or, to the knowledge of the Company, any of its subsidiaries their respective directors or officers, affiliates or controlling persons has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 6 contracts
Samples: Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II), Underwriting Agreement (AMCI Acquisition Corp. II)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither None of the Company nor Company, the Sponsor, or, to the knowledge of the Company, any of its subsidiaries their respective officers, directors, or shareholders has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 6 contracts
Samples: Underwriting Agreement (Landcadia Holdings III, Inc.), Underwriting Agreement (Landcadia Holdings III, Inc.), Underwriting Agreement (Landcadia Holdings II, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Open Market Sale Agreement (Kineta, Inc./De), Open Market Sale Agreement (Yumanity Therapeutics, Inc.), Open Market Sale Agreement (Yumanity Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Open Market Sale Agreement (Fate Therapeutics Inc), Open Market Sale Agreement (Viridian Therapeutics, Inc.\DE), Open Market Sale Agreement (Viridian Therapeutics, Inc.\DE)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares shares of Common Stock or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Sharesshares of Common Stock, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Underwriting Agreement (Savara Inc), Underwriting Agreement (Vistagen Therapeutics, Inc.), Underwriting Agreement (Savara Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Securities or Conversion Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M under the Exchange Act.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Traws Pharma, Inc.), Securities Purchase Agreement (Spyre Therapeutics, Inc.), Securities Purchase Agreement (Spyre Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act Act) (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 6 contracts
Samples: Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.), Underwriting Agreement (PRA Health Sciences, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Agent, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Open Market Sale Agreement (Lordstown Motors Corp.), Open Market Sale Agreement (Tango Therapeutics, Inc.), Open Market Sale Agreement (Candel Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or any security of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M under the Exchange Act.
Appears in 5 contracts
Samples: Stock Purchase Agreement (CohBar, Inc.), Merger Agreement (CohBar, Inc.), Stock Purchase Agreement (Catabasis Pharmaceuticals Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Placement Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Sales Agreement (Dynavax Technologies Corp), Sales Agreement (Dynavax Technologies Corp), Sales Agreement (Dynavax Technologies Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Offered Shares, the Common Stock or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesOffered Shares or Common Stock, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Underwriting Agreement (Cti Biopharma Corp), Underwriting Agreement (Cti Biopharma Corp), Underwriting Agreement (Cti Biopharma Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Open Market Sale Agreement (VBI Vaccines Inc/Bc), Equity Distribution Agreement (Tilray Brands, Inc.), Open Market Sale Agreement (VBI Vaccines Inc/Bc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Shares, as applicable, or of any “other "reference security” " (as defined in Rule 100 of Regulation M under the Exchange Act (“"Regulation M”")) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Shares, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Underwriting Agreement (Northern Dynasty Minerals LTD), Underwriting Agreement (Northern Dynasty Minerals LTD), Underwriting Agreement (Northern Dynasty Minerals LTD)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Underwriting Agreement (Xenon Pharmaceuticals Inc.), Underwriting Agreement (Xenon Pharmaceuticals Inc.), Underwriting Agreement (Xenon Pharmaceuticals Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M, provided, however, that the Company makes no representation or warranty as to any activities of the Agents.
Appears in 5 contracts
Samples: Sales Agreement (MICROSTRATEGY Inc), Sales Agreement (MICROSTRATEGY Inc), Sales Agreement (MICROSTRATEGY Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 5 contracts
Samples: Underwriting Agreement (Igate Corp), Underwriting Agreement (Spectranetics Corp), Underwriting Agreement (Inverness Medical Innovations Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither None of the Company nor Company, the Sponsor, or, to the knowledge of the Company, any of its subsidiaries their respective officers, directors or shareholders, has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 4 contracts
Samples: Underwriting Agreement (EQ Health Acquisition Corp.), Underwriting Agreement (EQ Health Acquisition Corp.), Underwriting Agreement (VPC Impact Acquisition Holdings II)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (Zoe's Kitchen, Inc.), Underwriting Agreement (Zoe's Kitchen, Inc.), Underwriting Agreement (Zoe's Kitchen, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might is reasonably expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Sales Agreement (Vince Holding Corp.), Open Market Sale Agreement (Wejo Group LTD), Open Market Sale Agreement (Vince Holding Corp.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Agent, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Open Market Sale Agreement (Hertz Corp), Open Market Sale Agreement (Revlon Inc /De/), Open Market Sale Agreement (Dave & Buster's Entertainment, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiary has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Open Market Sale Agreement (National Storage Affiliates Trust), Open Market Sale Agreement (National Storage Affiliates Trust), Open Market Sale Agreement (National Storage Affiliates Trust)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither None of the Company nor Company, the Sponsors, or, to the knowledge of the Company, any of its subsidiaries their respective officers or directors, has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares Company, whether to facilitate the sale or resale of any “reference security” (as defined in Rule 100 of the Offered Securities or otherwise, which would directly or indirectly violate Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M..
Appears in 4 contracts
Samples: Underwriting Agreement (EdtechX Holdings Acquisition Corp. II), Underwriting Agreement (Empowerment & Inclusion Capital I Corp.), Underwriting Agreement (EdtechX Holdings Acquisition Corp. II)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would will directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (TELA Bio, Inc.), Underwriting Agreement (TELA Bio, Inc.), Underwriting Agreement (TELA Bio, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might could reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (ARC Group Worldwide, Inc.), Underwriting Agreement (Presbia PLC), Underwriting Agreement (Presbia PLC)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and or has taken no any action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (BELLUS Health Inc.), Underwriting Agreement (Absolute Software Corp), Underwriting Agreement (BELLUS Health Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Rezolute, Inc.), Open Market Sale Agreement (Rezolute, Inc.), Underwriting Agreement (Establishment Labs Holdings Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might reasonably be expected cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (La Jolla Pharmaceutical Co), Underwriting Agreement (La Jolla Pharmaceutical Co), Underwriting Agreement (La Jolla Pharmaceutical Co)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any affiliate of its subsidiaries the Company has taken, nor will the Company or any affiliate take, directly or indirectly, any action designed which is designed, or would reasonably be expected, to or that might cause or result in in, or which constitutes, the stabilization or manipulation of the price of any security of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate to result in a violation of Regulation M.M under the 1934 Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Janux Therapeutics, Inc.), Underwriting Agreement (Janux Therapeutics, Inc.), Underwriting Agreement (Janux Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Representatives, any action designed to or that might could reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (Dicerna Pharmaceuticals Inc), Underwriting Agreement (Dicerna Pharmaceuticals Inc), Underwriting Agreement (Dicerna Pharmaceuticals Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: At the Market Equity Offering Sales Agreement (Xenon Pharmaceuticals Inc.), At the Market Equity Offering Sales Agreement (Xenon Pharmaceuticals Inc.), At the Market Equity Offering Sales Agreement (Xenon Pharmaceuticals Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares (including the Offered Shares) or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares (including the Offered Shares), whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 4 contracts
Samples: Underwriting Agreement (Medpace Holdings, Inc.), Underwriting Agreement (Medpace Holdings, Inc.), Underwriting Agreement (Medpace Holdings, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of any security of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M under the Exchange Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.), Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.), Securities Purchase Agreement (Eos Energy Enterprises, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectlyindirectly (without giving any effect to the activities by the Agent), any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Open Market Sale Agreement (Affimed N.V.), Open Market Sale Agreement (Affimed N.V.), Open Market Sale Agreement (Affimed N.V.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any Affiliate of its subsidiaries the Company has taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Atm Agency Agreement (India Globalization Capital, Inc.), Atm Agency Agreement (India Globalization Capital, Inc.), Atm Agency Agreement (India Globalization Capital, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agency Agreement (Chicago Bridge & Iron Co N V), Sales Agency Agreement (Evergreen Energy Inc), Sales Agency Agreement (Chicago Bridge & Iron Co N V)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock of the Company or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesCommon Stock of the Company, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Eiger BioPharmaceuticals, Inc.), Underwriting Agreement (Eiger BioPharmaceuticals, Inc.), Purchase Agreement (Eiger BioPharmaceuticals, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Agent, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agreement (Orchestra BioMed Holdings, Inc.), Open Market Sale Agreement (Orchestra BioMed Holdings, Inc.), Open Market Sale Agreement (LogicBio Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries subsidiaries, nor to the knowledge of the Company, any of its or their respective directors, officers or controlling persons has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Vaxart, Inc.), Sales Agreement (Vaxart, Inc.), Open Market Sale Agreement (Vaxart, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would will directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Equity Distribution Agreement (TELA Bio, Inc.), Equity Distribution Agreement (TELA Bio, Inc.), Equity Distribution Agreement (TELA Bio, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesCommon Stock, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Viridian Therapeutics, Inc.\DE), Underwriting Agreement (Viridian Therapeutics, Inc.\DE), Underwriting Agreement (Viridian Therapeutics, Inc.\DE)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in the unlawful stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Regional Management Corp.), Underwriting Agreement (Regional Management Corp.), Underwriting Agreement (Regional Management Corp.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Placement Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agreement (Axovant Gene Therapies Ltd.), Sales Agreement (Axovant Gene Therapies Ltd.), Sales Agreement (Axovant Sciences Ltd.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Wave Life Sciences Ltd.), Underwriting Agreement (Wave Life Sciences Ltd.), Underwriting Agreement (Ocata Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Open Market Sale Agreement (Vaxcyte, Inc.), Sales Agreement (Advaxis, Inc.), Placement Agency Agreement (Advaxis, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or any security of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M under the Exchange Act.
Appears in 3 contracts
Samples: Stock and Warrant Purchase Agreement (Aileron Therapeutics Inc), Securities Purchase Agreement (Miragen Therapeutics, Inc.), Securities Purchase Agreement (Unum Therapeutics Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares), whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Fiesta Restaurant Group, Inc.), Underwriting Agreement (Fiesta Restaurant Group, Inc.), Underwriting Agreement (Jefferies Capital Partners Iv Lp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Xenon Pharmaceuticals Inc.), Underwriting Agreement (Fate Therapeutics Inc), Underwriting Agreement (Xenon Pharmaceuticals Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries nor any of their respective directors, officers, affiliates or controlling persons has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Underwritten Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (American Realty Capital Properties, Inc.), Underwriting Agreement (American Realty Capital Properties, Inc.), Underwriting Agreement (American Realty Capital Properties, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Travere Therapeutics, Inc.), Underwriting Agreement (Altimmune, Inc.), Underwriting Agreement (Chiasma, Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Representatives, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Offered Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Offered Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Mirati Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Offered Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Offered Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Establishment Labs Holdings Inc.), Underwriting Agreement (Gambling.com Group LTD), Underwriting Agreement (Establishment Labs Holdings Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares ADSs or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesADSs, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Open Market Sale Agreement (Immunocore Holdings PLC), Securities Purchase Agreement (Avadel Pharmaceuticals PLC), Open Market Sale Agreement (Avadel Pharmaceuticals PLC)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Immunic, Inc.), Underwriting Agreement (Immunic, Inc.), Underwriting Agreement (Inmune Bio, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, without giving effect to activities by the Representatives, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Mirati Therapeutics, Inc.), Underwriting Agreement (Mirati Therapeutics, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesCommon Stock, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Kura Oncology, Inc.), Securities Purchase Agreement (Tempest Therapeutics, Inc.), Underwriting Agreement (OptiNose, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any “other "reference security” " (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“"Regulation M”")) with respect to the Shares, Common Stock whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Pioneer Drilling Co), Underwriting Agreement (Pioneer Drilling Co), Underwriting Agreement (Pioneer Drilling Co)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: At the Market Equity Offering Sales Agreement (iBio, Inc.), At the Market Equity Offering Sales Agreement (Somaxon Pharmaceuticals, Inc.), At the Market Equity Offering Sales Agreement (Superconductor Technologies Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiary or Holdings III has taken, directly or indirectly, any action designed to or that might would be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters may engage in passive market making transactions in the Securities on the Exchange in accordance with Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Sanchez Energy Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiary has taken, directly or indirectly, any action designed to or that might would be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters may engage in passive market making transactions in the Securities on the NYSE in accordance with Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Sanchez Energy Corp), Underwriting Agreement (Callon Petroleum Co)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any nor, to the knowledge of the Company, its subsidiaries subsidiary has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Five Prime Therapeutics Inc), Underwriting Agreement (Five Prime Therapeutics Inc), Underwriting Agreement (Five Prime Therapeutics Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectlyindirectly (without giving any effect to the activities of the Agent), any action designed to or that might cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Placement Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agreement (Tanzanian Gold Corp), Sales Agreement (Auris Medical Holding AG), Sales Agreement (Auris Medical Holding AG)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has takentaken or will take, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Open Market Sale Agreement (Cti Biopharma Corp), Open Market Sale Agreement (Cti Biopharma Corp), Open Market Sale Agreement (Cti Biopharma Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might could be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Underwriting Agreement (Pluristem Therapeutics Inc), Underwriting Agreement (Pluristem Therapeutics Inc), Underwriting Agreement (Pluristem Therapeutics Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Shares, as applicable, or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Placement Shares, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agreement (enCore Energy Corp.), Equity Distribution Agreement (Denison Mines Corp.), Equity Distribution Agreement (Denison Mines Corp.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 3 contracts
Samples: Sales Agreement (Bed Bath & Beyond Inc), Open Market Sale Agreement (Bed Bath & Beyond Inc), Open Market Sale Agreement (Gannett Co., Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Open Market Sale Agreement (Liquidia Technologies Inc), Equity Distribution Agreement (Gemphire Therapeutics Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiary has taken, directly or indirectly, any action designed to or that might would be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Stock or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which that would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters may engage in passive market making transactions in the Securities on the NYSE MKT in accordance with Regulation M.
Appears in 2 contracts
Samples: Underwriting Agreement (Emerald Oil, Inc.), Underwriting Agreement (Voyager Oil & Gas, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has taken, not taken directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares shares of the Common Stock or of any other “reference securityReference Security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwiseShares, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Purchase Agreement (Central European Distribution Corp), Purchase Agreement (Central European Distribution Corp)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither The Company has not taken, nor will the Company nor any of its subsidiaries has takentake, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Common Shares, as applicable, or of any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Public Securities, as applicable, or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Underwriting Agreement (Avino Silver & Gold Mines LTD), Underwriting Agreement (Avino Silver & Gold Mines LTD)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or the Pre-Funded Warrants, or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the SharesShares or the Pre-Funded Warrants, whether to facilitate the sale or resale of the Offered Shares Securities or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Underwriting Agreement (Abeona Therapeutics Inc.), Underwriting Agreement (Abeona Therapeutics Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Voting Shares and the Non-Voting Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Voting Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Underwriting Agreement (IGM Biosciences, Inc.), Underwriting Agreement (IGM Biosciences, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries or, to the Company’s knowledge, any of their respective directors, officers or affiliates has taken, directly or indirectly, any action designed to or that might would reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Open Market Sale Agreement (Verona Pharma PLC), Open Market Sale Agreement (Verona Pharma PLC)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the The Company nor any of its subsidiaries has not taken, directly or indirectly, any action designed to or that might be reasonably expected to cause or result in stabilization or manipulation of the price of the Shares Notes or of the Common Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares Notes or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Note Purchase Agreement (Horizon Pharma, Inc.), Note Purchase Agreement (Opko Health, Inc.)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has taken, directly or indirectly, any action designed to or that might reasonably be expected in the future to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Underwriting Agreement (Marrone Bio Innovations Inc), Underwriting Agreement (Marrone Bio Innovations Inc)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries Subsidiaries has taken, directly or indirectly, any action designed to or that might cause or result in stabilization or manipulation of the price of the Shares or security of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) with respect to the Shares, whether Company to facilitate the sale or resale of the Offered Securities or Conversion Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.M under the Exchange Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Viridian Therapeutics, Inc.\DE), Securities Purchase Agreement (Viridian Therapeutics, Inc.\DE)
No Price Stabilization or Manipulation; Compliance with Regulation M. Neither the Company nor any of its subsidiaries has takentaken and will not take, directly or indirectly, any action that is designed to or that has constituted or might reasonably be expected to cause or result in stabilization or manipulation of the price of the Shares or of any “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) ), with respect to the Shares, whether to facilitate the sale or resale of the Offered Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M.
Appears in 2 contracts
Samples: Sales Agreement (4D Molecular Therapeutics, Inc.), Open Market Sale Agreement (4D Molecular Therapeutics Inc.)
