Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 7 contracts
Samples: Underwriting Agreement (BKV Corp), Underwriting Agreement (BKV Corp), Underwriting Agreement (BKV Corp)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities Common Stock issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 6 contracts
Samples: Underwriting Agreement (Evoqua Water Technologies Corp.), Underwriting Agreement (Evoqua Water Technologies Corp.), Underwriting Agreement (Evoqua Water Technologies Corp.)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 6 contracts
Samples: Underwriting Agreement (Ellington Financial Inc.), Underwriting Agreement (Ellington Financial Inc.), Underwriting Agreement (Ellington Residential Mortgage REIT)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to plans, (ii) outstanding options, rights or warrants, or (iii) the conversion of outstanding preferred stock into Securities as described in the General Disclosure Package.
Appears in 3 contracts
Samples: Underwriting Agreement (Ooma Inc), Underwriting Agreement (Arcadia Biosciences, Inc.), Underwriting Agreement (Receptos, Inc.)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 3 contracts
Samples: Underwriting Agreement (Ellington Residential Mortgage REIT), Underwriting Agreement (Ellington Residential Mortgage REIT), Underwriting Agreement (Ellington Residential Mortgage REIT)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package Statutory Prospectus and the Final Prospectus, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 2 contracts
Samples: Underwriting Agreement (SOC Telemed, Inc.), Underwriting Agreement (SOC Telemed, Inc.)
Other Offerings. Except as disclosed in the Registration Statement, the General Pricing Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities of its common stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities common stock issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans plans, or (ii) pursuant to outstanding options, rights options or warrantsrights.
Appears in 2 contracts
Samples: Alder Biopharmaceuticals Inc, Alder Biopharmaceuticals Inc
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities common shares issued pursuant to employee benefit benefits plans, qualified stock option plans or other employee compensation plans or pursuant to the exercise or conversion of outstanding options, rights rights, warrants or warrantsconvertible debt.
Appears in 2 contracts
Samples: Underwriting Agreement (Textura Corp), Underwriting Agreement (Textura Corp)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities equity securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities equity securities issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 2 contracts
Samples: Underwriting Agreement (Diplomat Pharmacy, Inc.), Underwriting Agreement (Diplomat Pharmacy, Inc.)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities or any other equity security during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities or any other equity security issued pursuant to employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to outstanding options, rights or warrants.
Appears in 2 contracts
Samples: Underwriting Agreement (NeuroSigma, Inc.), Underwriting Agreement (NeuroSigma, Inc.)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to (ii) outstanding options, rights rights, warrants or warrantspreferred stock of the Company convertible into the Securities.
Appears in 1 contract
Samples: Underwriting Agreement (Satsuma Pharmaceuticals, Inc.)
Other Offerings. Except as disclosed in the Registration Statement, the General Pricing Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities of its common stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Securities Act, other than Securities common stock issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans plans, or (ii) pursuant to outstanding options, rights options or warrantsrights.
Appears in 1 contract
Samples: Alder Biopharmaceuticals Inc
Other Offerings. Except as disclosed in the Registration Statement, the General Pricing Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities of its Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Securities Act, other than Securities Common Stock issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans plans, or (ii) pursuant to outstanding options, rights options or warrantsrights.
Appears in 1 contract
Samples: Alder Biopharmaceuticals Inc
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final Prospectus, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to (A) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to (B) outstanding options, rights or warrants.
Appears in 1 contract
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities securities issued pursuant to (i) the Company’s employee benefit plans, qualified stock option plans or other employee compensation plans or pursuant to plans, (ii) outstanding options, rights or warrants, or (iii) the conversion of outstanding preferred stock into securities as described in the General Disclosure Package.
Appears in 1 contract
Samples: Purchase Agreement (Ooma Inc)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to (A) employee benefit plans, qualified stock option plans or other employee compensation plans plans, or (B) pursuant to outstanding options, rights options or warrantsrights.
Appears in 1 contract
Samples: Underwriting Agreement (Alder Biopharmaceuticals Inc)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulation D or Regulation S of, the Act, other than Securities issued pursuant to (A) employee benefit plans, qualified stock option plans or other employee compensation plans or plans, (B) pursuant to outstanding options, rights or warrants, or (C) the conversion of the outstanding preferred stock into Securities as described in the General Disclosure Package.
Appears in 1 contract
Samples: Underwriting Agreement (Alder Biopharmaceuticals Inc)
Other Offerings. Except as disclosed in the Registration Statement, the General Disclosure Package and the Final ProspectusPackage, the Company has not sold, issued or distributed any Securities ordinary shares during the six6-month period preceding the date hereof, including any sales pursuant to Rule 144A under144A, or Regulation under Regulations D or Regulation S of, the Act, other than Securities ordinary shares issued pursuant to employee benefit incentive plans, qualified stock option plans or other employee compensation plans plans, or pursuant to outstanding options, rights or warrants, each as described in the General Disclosure Package, the Registration Statement and the Final Prospectus.
Appears in 1 contract