Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 1219 contracts
Samples: Underwriting Agreement (Cohen Circle Acquisition Corp. I), Underwriting Agreement (Dynamix Corp), Underwriting Agreement (Launch Two Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 510 contracts
Samples: Underwriting Agreement (Sidus Space Inc.), Underwriting Agreement (Diginex LTD), Underwriting Agreement (Ming Shing Group Holdings LTD)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since from its inception through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement, the Statutory Prospectus or the Prospectus.
Appears in 204 contracts
Samples: Underwriting Agreement (SilverBox Corp IV), Underwriting Agreement (SilverBox Corp IV), Underwriting Agreement (SilverBox Corp IV)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since within the three years prior to the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 183 contracts
Samples: Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Argyle Security Acquisition CORP)
Prior Securities Transactions. No During the past three (3) years from the date of this Agreement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and any Preliminary Prospectus.
Appears in 121 contracts
Samples: Underwriting Agreement (EPWK Holdings Ltd.), Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (rYojbaba Co., Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 102 contracts
Samples: Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 73 contracts
Samples: Underwriting Agreement (Baiya International Group Inc.), Underwriting Agreement (ORIENTAL RISE HOLDINGS LTD), Underwriting Agreement (EShallGo Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s 's formation, except as disclosed in the Registration Statement.
Appears in 70 contracts
Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 65 contracts
Samples: Placement Agency Agreement (Biovie Inc.), Placement Agency Agreement (Transcode Therapeutics, Inc.), Underwriting Agreement (KWESST Micro Systems Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementPricing Disclosure Package and the Preliminary Prospectus.
Appears in 46 contracts
Samples: Underwriting Agreement (Haoxin Holdings LTD), Underwriting Agreement (Haoxin Holdings LTD), Underwriting Agreement (Haoxin Holdings LTD)
Prior Securities Transactions. No Since inception, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 41 contracts
Samples: Underwriting Agreement (Polyrizon Ltd.), Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (Polyrizon Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 36 contracts
Samples: Underwriting Agreement (WORK Medical Technology Group LTD), Underwriting Agreement (WORK Medical Technology Group LTD), Underwriting Agreement (Maison Solutions Inc.)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since from its inception through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 26 contracts
Samples: Underwriting Agreement (Capitol Investment Corp. VI), Underwriting Agreement (Capitol Investment Corp. IV), Capitol Investment Corp. VI
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and the Prospectus.
Appears in 25 contracts
Samples: Underwriting Agreement (Zhengye Biotechnology Holding LTD), Underwriting Agreement (SAMFINE CREATION HOLDINGS GROUP LTD), Underwriting Agreement (BloomZ Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formationincorporation, except as disclosed in the Registration Statement.
Appears in 19 contracts
Samples: Underwriting Agreement (DT Cloud Star Acquisition Corp), Underwriting Agreement (DT Cloud Star Acquisition Corp), Underwriting Agreement (Bukit Jalil Global Acquisition 1 Ltd.)
Prior Securities Transactions. No Except as disclosed in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 18 contracts
Samples: Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (IB Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Statutory Prospectus and the Prospectus.
Appears in 17 contracts
Samples: Underwriting Agreement (GSR II Meteora Acquisition Corp.), Underwriting Agreement (GSR II Meteora Acquisition Corp.), Underwriting Agreement (Opy Acquisition Corp. I)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 16 contracts
Samples: Underwriting Agreement (Expion360 Inc.), Underwriting Agreement (Expion360 Inc.), Underwriting Agreement (Bluejay Diagnostics, Inc.)
Prior Securities Transactions. No Except as disclosed in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s its formation, except as disclosed in the Registration Statement.
Appears in 14 contracts
Samples: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 13 contracts
Samples: Underwriting Agreement (Highbury Financial Inc), Warrant Agreement (Treehouse Partners CORP), Underwriting Agreement (Highbury Financial Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled con-trolled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 12 contracts
Samples: Underwriting Agreement (Rand Acquisition Corp. II), Underwriting Agreement (China Fortune Acquisition Corp.), Underwriting Agreement (Rand Acquisition Corp. II)
Prior Securities Transactions. (1) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since from its inception through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 12 contracts
Samples: Underwriting Agreement (Santa Monica Media CORP), Underwriting Agreement (KBL Healthcare Acquisition Corp III), Underwriting Agreement (Santa Monica Media CORP)
Prior Securities Transactions. No securities of the Company have been offered or sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 11 contracts
Samples: Underwriting Agreement (United Refining Energy Corp), Underwriting Agreement (TransTech Services Partners Inc.), Underwriting Agreement (United Refining Energy Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Preliminary Prospectus, the Registration StatementStatement and the Prospectus.
Appears in 10 contracts
Samples: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package, and the Prospectus.
Appears in 9 contracts
Samples: Underwriting Agreement (GigCapital7 Corp.), Underwriting Agreement (GigCapital7 Corp.), Underwriting Agreement (GigInternational1, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or or, to the Company’s knowledge, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 8 contracts
Samples: Underwriting Agreement (Top Wealth Group Holding LTD), Underwriting Agreement (Pheton Holdings LTD), Underwriting Agreement (Top Wealth Group Holding LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s 's formation, except as disclosed in the Registration Statement.
Appears in 8 contracts
Samples: Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Allegro Merger Corp.)
Prior Securities Transactions. No Since the beginning of the period covered by the financial statement included in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 8 contracts
Samples: Placement Agency Agreement (Addentax Group Corp.), Placement Agency Agreement (Greenpro Capital Corp.), Placement Agency Agreement (Greenpro Capital Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Preliminary Prospectus and the Prospectus.
Appears in 8 contracts
Samples: Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China CORP)
Prior Securities Transactions. No securities of the Company have been sold by the Company or or, to the Company’s knowledge, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 8 contracts
Samples: Underwriting Agreement (Primega Group Holdings LTD), Underwriting Agreement (Primega Group Holdings LTD), Underwriting Agreement (Primega Group Holdings LTD)
Prior Securities Transactions. No Since January 1, 2016, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Prospectus and the Preliminary Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Prospectus and the Prospectus.
Appears in 7 contracts
Samples: Underwriter Agreement (Dogness (International) Corp), Underwriting Agreement (Baikang Biological Group Holdings LTD), Placement Agent Agreement (Endurance Exploration Group, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, any Preliminary Prospectus, the Statutory Prospectus and the Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (Resonant Inc), Underwriting Agreement (Energous Corp), Underwriting Agreement (Ideal Power Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formationApril 1, 2013, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.)
Prior Securities Transactions. No Since January 1, 2020, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 7 contracts
Samples: Underwriting Agreement (ENDRA Life Sciences Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Biostage, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since within the three (3) years prior to the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 7 contracts
Samples: Underwriting Agreement (Boulder Specialty Brands, Inc.), Underwriting Agreement (Key Hospitality Acquisition CORP), Underwriting Agreement (Echo Healthcare Acquisition Corp.)
Prior Securities Transactions. No Since August 1, 2016, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (BriaCell Therapeutics Corp.), Underwriting Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.)
Prior Securities Transactions. No Since September 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementDisclosure Materials.
Appears in 6 contracts
Samples: Underwriting Agreement (Luda Technology Group LTD), Underwriting Agreement (Ming Shing Group Holdings LTD), Underwriting Agreement (Ming Shing Group Holdings LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s its formation, except as disclosed in the Registration Statement.
Appears in 6 contracts
Samples: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus or as not required to be disclosed pursuant to the Securities Act and the Securities Act Regulations.
Appears in 6 contracts
Samples: Underwriting Agreement (Clip Interactive, LLC), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, Base Prospectus, the Time of Sale Prospectus and the Prospectus Supplement.
Appears in 6 contracts
Samples: Placement Agency Agreement (NXT-Id, Inc.), www.sec.gov, Placement Agency Agreement (NXT-Id, Inc.)
Prior Securities Transactions. No unregistered securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date Company, and no securities of the Company’s formationCompany have been sold by the Company during the six-month period preceding the Closing Date, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration StatementStatutory Prospectus and the Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (Shine Media Acquisition Corp.), Underwriting Agreement (Advanced Technology Acquisition Corp.), Underwriting Agreement (Advanced Technology Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, of any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (Cocrystal Pharma, Inc.), Underwriting Agreement (Opgen Inc), Underwriting Agreement (Creative Realities, Inc.)
Prior Securities Transactions. No Since January 1, 2011, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Prior Securities Transactions. No During the prior twelve months, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.)
Prior Securities Transactions. No Since July 23, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)
Prior Securities Transactions. No Since January 1, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (Skyline Medical Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and any Preliminary Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.)
Prior Securities Transactions. No Since May 13, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (Nautilus Marine Acquisition Corp), Underwriting Agreement (S.E. Asia Emerging Market Company., LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementPricing Disclosure Package and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Lobo Ev Technologies LTD), Underwriting Agreement (Lobo Ev Technologies LTD), Indemnification Escrow Agreement (Prime Skyline LTD)
Prior Securities Transactions. No Since January 1, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Rit Technologies LTD), Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)
Prior Securities Transactions. No Since January 1, 2021, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Gain Therapeutics, Inc.), Underwriting Agreement (Modular Medical, Inc.), Underwriting Agreement (Modular Medical, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package, and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Verb Technology Company, Inc.)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since from its inception through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement, the Statutory Prospectus or the Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (DHC Acquisition Corp.), Securities Subscription Agreement (DHC Acquisition Corp.), Kernel Group Holdings, Inc.
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Time of Sale Information and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (Ammo, Inc.)
Prior Securities Transactions. No Since December 31, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus or in reports filed under Section 16 of the Exchange Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Transcode Therapeutics, Inc.), Underwriting Agreement (Transcode Therapeutics, Inc.), Underwriting Agreement (Transcode Therapeutics, Inc.)
Prior Securities Transactions. No Since January 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Placement Agency Agreement (InspireMD, Inc.), Placement Agency Agreement (InspireMD, Inc.), Placement Agency Agreement (Uranium Resources Inc /De/)
Prior Securities Transactions. No Since August 6, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Samples: Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as that are required to be disclosed in the Registration StatementStatement except as disclosed therein.
Appears in 3 contracts
Samples: Underwriting Agreement (On Track Innovations LTD), Underwriting Agreement (Novelos Therapeutics, Inc.), Underwriting Agreement (Novelos Therapeutics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementSchedule 2.4.3.
Appears in 3 contracts
Samples: Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or to the knowledge of the Company by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG)
Prior Securities Transactions. No Since inception, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementOffering Statement (including Part I thereof), the Pricing Disclosure Package and the Final Offering Circular.
Appears in 3 contracts
Samples: Underwriting Agreement (AeroClean Technologies, LLC), Underwriting Agreement (Scopus BioPharma Inc.), Underwriting Agreement (Scopus BioPharma Inc.)
Prior Securities Transactions. No Since February 1, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Intercloud Systems, Inc.), Underwriting Agreement (Intercloud Systems, Inc.), Underwriting Agreement (Intercloud Systems, Inc.)
Prior Securities Transactions. No Sine January 1, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 3 contracts
Samples: Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration StatementProspectus.
Appears in 3 contracts
Samples: Underwriting Agreement (TAC Acquisition Corp.), Underwriting Agreement (Global Logistics Acquisition CORP), Underwriting Agreement (TAC Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Offering Statement, the Pricing Disclosure Materials and the Final Offering Circular.
Appears in 3 contracts
Samples: Placement Agency Agreement (Campagna Motors USA Inc.), Selling Agency Agreement (Level Brands, Inc.), Selling Agency Agreement (Level Brands, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since from its incorporation through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement, Statutory Prospectus and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Emerging Markets Horizon Corp.), Emerging Markets Horizon Corp., Emerging Markets Horizon Corp.
Prior Securities Transactions. No securities of the Company have been offered or sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Statutory Prospectus, and the Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (GigCapital3, Inc.), Underwriting Agreement (GigCapital3, Inc.), Underwriting Agreement (GigCapital3, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. EarlyBirdCapital, Inc. _________ __, 2014 Page 8 of 42
Appears in 3 contracts
Samples: Underwriting Agreement (CB Pharma Acquisition Corp.), Underwriting Agreement (CB Pharma Acquisition Corp.), Underwriting Agreement (CB Pharma Acquisition Corp.)
Prior Securities Transactions. No Since July 23, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 3 contracts
Samples: Underwriting Agreement (TrovaGene Inc.), Underwriting Agreement (TrovaGene Inc.), Underwriting Agreement (Xplore Technologies Corp)
Prior Securities Transactions. No For the last three years, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed or incorporated by reference in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (SurgePays, Inc.), Underwriting Agreement (Super League Gaming, Inc.), Underwriting Agreement (Cel Sci Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and the Pricing Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Viragen Inc), Underwriting Agreement (Viragen Inc), Underwriting Agreement (Viragen Inc)
Prior Securities Transactions. No Since May 1, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or to the knowledge of the Company by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus, other than Ordinary Shares issued in satisfaction of interest payable on the Company’s outstanding unsecured convertible debentures.
Appears in 2 contracts
Samples: Underwriting Agreement (Ambow Education Holding Ltd.), Underwriting Agreement (Ambow Education Holding Ltd.)
Prior Securities Transactions. No Since June 1, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Northwest Biotherapeutics Inc), Underwriting Agreement (Northwest Biotherapeutics Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. EarlyBirdCapital, Inc.[l], 2017Page 8 of 41
Appears in 2 contracts
Samples: Underwriting Agreement (CM Seven Star Acquisition Corp), Underwriting Agreement (CM Seven Star Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. EarlyBirdCapital, Inc. _________ __, 2014
Appears in 2 contracts
Samples: Underwriting Agreement (Arowana Inc.), Underwriting Agreement (DT Asia Investments LTD)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since from its inception through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Overture Acquisition Corp.), Underwriting Agreement (Navios Maritime Acquisition CORP)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus; or except as may be sold pursuant to the Company’s ongoing series A preferred stock offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Onfolio Holdings, Inc), Underwriting Agreement (Onfolio Holdings, Inc)
Prior Securities Transactions. No Since June 24, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Ritter Pharmaceuticals Inc), Underwriting Agreement (Ritter Pharmaceuticals Inc)
Prior Securities Transactions. No Since January 1, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (iSign Solutions Inc.), Underwriting Agreement (iSign Solutions Inc.)
Prior Securities Transactions. No Since September 21, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Sorrento Therapeutics, Inc.), Underwriting Agreement (Sorrento Therapeutics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formationJanuary 1, 2018, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (BK Technologies Corp), Underwriting Agreement (Ballantyne Strong, Inc.)
Prior Securities Transactions. No Since October 1, 2018, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp)
Prior Securities Transactions. No Since January 1, 2012, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Manhattan Bridge Capital, Inc), Underwriting Agreement (American Dg Energy Inc)
Prior Securities Transactions. No To the extent material or otherwise required to be disclosed therein, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (BranchOut Food Inc.), Underwriting Agreement (BranchOut Food Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Click Holdings Ltd.), Underwriting Agreement (Click Holdings Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus, other than Common Shares issued in satisfaction of interest payable on the Company’s outstanding unsecured convertible debentures.
Appears in 2 contracts
Samples: Underwriting Agreement (Acasti Pharma Inc.), Underwriting Agreement (Acasti Pharma Inc.)
Prior Securities Transactions. (i) No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since from its incorporation through and including the date of the Company’s formationhereof, except as disclosed in the Registration Statement, the Statutory Prospectus or the Prospectus.
Appears in 2 contracts
Samples: ESGEN Acquisition Corp, ESGEN Acquisition Corp
Prior Securities Transactions. No Since January 1, 2019, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Samples: Underwriting Agreement (Manhattan Bridge Capital, Inc), Underwriting Agreement (Document Security Systems Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. Maxim Group LLC _____________, 2005
Appears in 2 contracts
Samples: Underwriting Agreement (Star Maritime Acquisition Corp.), Underwriting Agreement (Star Maritime Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. EarlyBirdCapital, Inc. October 25, 2017 Page 8 of 42
Appears in 2 contracts
Samples: Underwriting Agreement (CM Seven Star Acquisition Corp), Underwriting Agreement (CM Seven Star Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company prior to the offering or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 2 contracts
Samples: Underwriting Agreement (Fuling Global Inc.), Underwriting Agreement (Fuling Global Inc.)
