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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock 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 Stock on The NASDAQ Capital Market in accordance with Regulation M.

Appears in 6 contracts

Samples: Underwriting Agreement (Dynavax Technologies Corp), Underwriting Agreement (Dynavax Technologies Corp), Underwriting Agreement (Dynavax Technologies Corp)

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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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Stock Offered Shares on The the NASDAQ Capital Global Market in accordance with Regulation M.

Appears in 5 contracts

Samples: Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, Inc.), Underwriting Agreement (Celldex Therapeutics, 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 Stock Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters Agent may engage in passive market making transactions in the Stock Shares on The NASDAQ Capital the Principal Market in accordance with Regulation M.

Appears in 3 contracts

Samples: Open Market Sale Agreement (Postal Realty Trust, Inc.), Open Market Sale Agreement (Pluristem Therapeutics Inc), Open Market Sale Agreement (Pluristem Therapeutics 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 Stock Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange 1934 Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Offered Shares on the New York Stock on The NASDAQ Capital Market Exchange in accordance with Regulation M.

Appears in 2 contracts

Samples: Underwriting Agreement (Quaker Chemical Corp), Underwriting Agreement (Proto Labs 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 Stock Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Stock Offered Shares on The the NASDAQ Capital Market in accordance with Regulation M.

Appears in 2 contracts

Samples: Underwriting Agreement (Diversified Restaurant Holdings, Inc.), Underwriting Agreement (Diversified Restaurant Holdings, Inc.)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Neither the Company nor any Subsidiary 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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock 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 Stock Securities on The the NASDAQ Capital Market in accordance with Regulation M.

Appears in 2 contracts

Samples: Underwriting Agreement (Abraxas Petroleum Corp), Underwriting Agreement (Abraxas Petroleum 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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Stock Offered Shares on The NASDAQ Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Biosante 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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Stock Offered Shares on The NASDAQ Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Dynavax Technologies 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 Stock Ordinary Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters Agent may engage in passive market making transactions in the Stock Shares on The NASDAQ Capital the Principal Market in accordance with Regulation M.

Appears in 1 contract

Samples: Open Market Sale Agreement (BeyondSpring 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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock 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 Stock on The NASDAQ the Nasdaq Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Dynavax Technologies Corp)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Neither the Company nor any Subsidiary 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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Common Stock on The NASDAQ Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Abraxas Petroleum Corp)

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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 reasonably be reasonably expected to cause or result in stabilization or manipulation of the price of the shares of Common Stock 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 of Common Stock, whether to facilitate the sale or resale of the Stock Offered 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 Stock on The NASDAQ Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Heron Therapeutics, Inc. /De/)

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 Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock and Warrants 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 Common Stock on The NASDAQ the Nasdaq Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Dynavax Technologies Corp)

No Price Stabilization or Manipulation; Compliance with Regulation M. The Neither the Company nor any Subsidiary has not taken, directly or indirectly, any action designed to or that might would be 2085477v11 reasonably expected to cause or result in stabilization or manipulation of the price of the Common Stock or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Common Stock on The the NASDAQ Capital Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Abraxas Petroleum 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 Stock or the Warrants, or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) ), whether to facilitate the sale or resale of the Stock 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 Common Stock on The the NASDAQ Capital Global Market in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Cerus 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 Stock Shares or any other "reference security" (as defined in Rule 100 of Regulation M under the Exchange Act ("Regulation M")) whether to facilitate the sale or resale of the Stock Offered Shares 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 Offered Shares on the American Stock on The NASDAQ Capital Market Exchange in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (KFX 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 Stock Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Shares or otherwise, and has taken no action which would directly or indirectly violate Regulation M. The Company acknowledges that the Underwriters Agent may engage in passive market making transactions in the Stock Shares on The NASDAQ Capital the Principal Market in accordance with Regulation M.

Appears in 1 contract

Samples: Open Market Sale Agreement (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 Stock Shares or any other “reference security” (as defined in Rule 100 of Regulation M under the Exchange Act (“Regulation M”)) whether to facilitate the sale or resale of the Stock Offered Shares 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 Offered Shares on the American Stock on The NASDAQ Capital Market Exchange in accordance with Regulation M.

Appears in 1 contract

Samples: Underwriting Agreement (Aurora Oil & Gas CORP)

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