Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Date, the Company was not, is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 21 contracts
Samples: Placement Agency Agreement (Inventergy Global, Inc.), Placement Agency Agreement (Inventergy Global, Inc.), Placement Agency Agreement (LIGHTBRIDGE Corp)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Date, the Company was not, is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities Shares as contemplated by the Registration Statement.
Appears in 5 contracts
Samples: Placement Agency Agreement (Assembly Biosciences, Inc.), Placement Agency Agreement (Rosetta Genomics Ltd.), Placement Agency Agreement (Rosetta Genomics Ltd.)
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at as of the Execution Time (with such date hereof and at substituting for the Closing Datedetermination date in Rule 405 for purposes of this clause (ii)), the Company was not, not and is not and will not be an “ineligible issuer,” (as defined in Rule 405 under of the Securities Act), without taking account of any determination by the Commission pursuant to Rule 405 of the Securities Act that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statementissuer.
Appears in 4 contracts
Samples: Underwriting Agreement (Td Ameritrade Holding Corp), Underwriting Agreement (Td Ameritrade Holding Corp), Underwriting Agreement (Td Ameritrade Holding Corp)
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at as of the date hereof of the execution and at the Closing Datedelivery of this Agreement, the Company was not, is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 3 contracts
Samples: Underwriting Agreement (Biodel Inc), Underwriting Agreement (Biodel Inc), Underwriting Agreement (Biodel Inc)
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at as of the date hereof of the execution and at the Closing Datedelivery of this Agreement, the Company was not, is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities Offering as contemplated by the Registration Statement.
Appears in 2 contracts
Samples: Placement Agency Agreement (Biodel Inc), Placement Agency Agreement (Biodel Inc)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities Shares as contemplated by the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Overland Storage Inc), Underwriting Agreement (Hq Sustainable Maritime Industries, Inc.)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking into account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Parkervision Inc), Underwriting Agreement (Parkervision Inc)
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Buy Com Inc), Underwriting Agreement (Scopus Video Networks Ltd.)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer issuer, including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration StatementProspectus.
Appears in 1 contract
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer issuer, including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities Shares as contemplated by the Registration Statement.
Appears in 1 contract
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 1 contract
Samples: Underwriting Agreement (Hq Sustainable Maritime Industries, Inc.)
Not an Ineligible Issuer. (1i) At the time of filing the Registration Statement and (2ii) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “"ineligible issuer,” " as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 1 contract
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer issuer, including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 1 contract
Samples: Placement Agency Agreement (Emisphere Technologies Inc)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the each Closing Date, the Company was not, is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities as contemplated by the Registration Statement.
Appears in 1 contract
Samples: Co Placement Agency Agreement (Rosetta Genomics Ltd.)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and (2) at the date hereof and at the Closing Datehereof, the Company was not, not and is not and will not be an “ineligible issuer,” as defined in Rule 405 under the Securities Act, without taking account of any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer issuer, including, without limitation, for purposes of Rules 164 and 433 under the Securities Act with respect to the offering of the Securities Shares as contemplated by the Registration Statement.
Appears in 1 contract
Samples: Placement Agency Agreement (Emisphere Technologies Inc)