Common use of No Price Stabilization or Manipulation; Compliance with Regulation M Clause in Contracts

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 3 contracts

Samples: Open Market Sale (BioXcel Therapeutics, Inc.), Open Market Sale (BioXcel Therapeutics, Inc.), Open Market Sale (BioXcel Therapeutics, Inc.)

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No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 3 contracts

Samples: Karyopharm Therapeutics Inc., Olympic Steel Inc, Olympic Steel Inc

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company None of the Company, any of the Subsidiaries or any of their respective directors, officers or affiliates has not taken, directly or indirectly, any action designed to designed, or that which has constituted or might reasonably be reasonably expected to cause or result in the stabilization or manipulation of the price of any security of the Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Act (“Regulation M”)) whether Company to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate in violation of Regulation M. M under the Exchange Act. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Global Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 3 contracts

Samples: Open Market Sale (Selecta Biosciences Inc), Open Market Sale (Selecta Biosciences Inc), Sales Agreement (Selecta Biosciences Inc)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are currently “actively traded securities” (as defined in Regulation M).

Appears in 2 contracts

Samples: Open Market Sale (Scholar Rock Holding Corp), Open Market Sale (Scholar Rock Holding Corp)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively actively-traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Athersys, Inc / New

No Price Stabilization or Manipulation; Compliance with Regulation M. The Neither the Company nor any of its subsidiaries has not taken, directly or indirectly, without giving effect to activities by the Agent, any action designed to or that might would reasonably be reasonably expected to cause or result in stabilization or manipulation of the price of the Common Shares or of any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) with respect to the Common Shares, whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Bellicum Pharmaceuticals, Inc

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. M or Canadian Securities Laws. The Company acknowledges that the Agent Agents may engage in passive market making transactions in the Shares on the Nasdaq Capital U.S. Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Equity Distribution Agreement (Aphria Inc.)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company has not 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).M.

Appears in 1 contract

Samples: Open Market Sale (CASI Pharmaceuticals, Inc.)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company has not 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Open Market Sale (Arbutus Biopharma Corp)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Global Select Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Open Market Sale (Karyopharm Therapeutics Inc.)

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No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Global Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Open Market Sale (Concert Pharmaceuticals, Inc.)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Neither the Company nor any Affiliate of the Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Ener1 Inc

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or Forward Settlement Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Common Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).M.

Appears in 1 contract

Samples: Postal Realty Trust, Inc.

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Ordinary Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Ordinary Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Quotient LTD

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company 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 Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Global Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Open Market Sale Agreement (Zynerba Pharmaceuticals, Inc.)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Company has not taken, directly or indirectly, any action designed to or that might could reasonably be reasonably expected to cause or result in stabilization or manipulation of the price of the Common Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the 1934 Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Shares or otherwise, and has taken no action which that would directly or indirectly violate Regulation M. The Company acknowledges that the Agent may engage in passive market making transactions in the Shares on the Nasdaq Capital Principal Market in accordance with Regulation M. The Common Shares are “actively traded securities” (as defined in Regulation M).

Appears in 1 contract

Samples: Open Market Sale (Sangamo Therapeutics, Inc)

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