Common use of Prior Securities Transactions Clause in Contracts

Prior Securities Transactions. During the period starting three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 36 contracts

Samples: Underwriting Agreement (Star Fashion Culture Holdings LTD), Underwriting Agreement (Star Fashion Culture Holdings LTD), Underwriting Agreement (Diamir Biosciences Corp.)

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Prior Securities Transactions. During Since the period starting three (3) years prior to beginning of the date of this Agreementlast two full fiscal 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 28 contracts

Samples: Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (THUMZUP MEDIA Corp), Underwriting Agreement (Arch Therapeutics, Inc.)

Prior Securities Transactions. During For the period starting past three (3) completed fiscal years prior to through the date of this Agreementhereof, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary ProspectusProspectus or, with respect to parties other than the Company, other filings by such other persons with the Commission.

Appears in 20 contracts

Samples: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the any Preliminary Prospectus.

Appears in 9 contracts

Samples: Underwriting Agreement (Oranco Inc), Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary Prospectus.

Appears in 7 contracts

Samples: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)

Prior Securities Transactions. During the period starting last three (3) years prior to the date of this Agreementyears, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 6 contracts

Samples: Underwriting Agreement (Bioblast Pharma Ltd.), Underwriting Agreement (Therapix Biosciences Ltd.), Underwriting Agreement (Therapix Biosciences Ltd.)

Prior Securities Transactions. During For the period starting three (3) past two completed fiscal years prior to through the date of this Agreementhereof, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary ProspectusProspectus or, with respect to parties other than the Company, other filings by such other persons with the Commission.

Appears in 5 contracts

Samples: Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Sonoma Pharmaceuticals, Inc.)

Prior Securities Transactions. During the period starting three two (32) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 4 contracts

Samples: Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Nano Nuclear Energy Inc.), Underwriting Agreement (Nano Nuclear Energy Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to from the date of this Agreement, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary Prospectus.

Appears in 4 contracts

Samples: Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Fitell Corp)

Prior Securities Transactions. During the period starting three (3) years prior to the date of this AgreementApplicable Time, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 4 contracts

Samples: Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp), Underwriting Agreement (Dais Analytic Corp)

Prior Securities Transactions. During the period starting past three (3) years prior to from the date of this Agreement, 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 or under common control with the Company, including but not limited to the Selling Shareholder, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary Prospectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Fitell Corp), Underwriting Agreement (Zhong Yuan Bio-Technology Holdings LTD), Underwriting Agreement (Fitell Corp)

Prior Securities Transactions. During the period starting past three (3) years prior to the date of this AgreementAgreement (or since such earlier date of inception of the Company), 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary Prospectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Mangoceuticals, Inc.), Underwriting Agreement (Mangoceuticals, Inc.), Lock Up Agreement (Mangoceuticals, Inc.)

Prior Securities Transactions. During In the period starting three (3) years prior to the date Effective Date of this Agreementthe 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 3 contracts

Samples: Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon), Underwriting Agreement (Inpixon)

Prior Securities Transactions. During the period starting three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (QSAM Biosciences, Inc.), Underwriting Agreement (QSAM Biosciences, Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Lakeside Holding LTD), Underwriting Agreement (Sidus Space Inc.)

Prior Securities Transactions. During the period starting of three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (InspireMD, Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary ProspectusProspectus Supplement.

Appears in 2 contracts

Samples: Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Senmiao Technology LTD)

Prior Securities Transactions. During the period starting three (3) years prior to the date of this AgreementSince July 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Zhibao Technology Inc.), Underwriting Agreement (Zhibao Technology Inc.)

Prior Securities Transactions. During Within the period starting three (3) years prior to the date of this AgreementEffective Date, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Vision Marine Technologies Inc.), Underwriting Agreement (Vision Marine Technologies Inc.)

Prior Securities Transactions. During the period starting three (3) years prior to the date of this AgreementSince March 1, 2022, no securities of the Company have been sold by the Company or to its knowledge by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package Time of Sale Prospectus and the Preliminary ProspectusOffering Documents.

Appears in 2 contracts

Samples: Underwriting Agreement, Underwriting Agreement (Draganfly Inc.)

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Prior Securities Transactions. During In the period starting three (3) years prior to the effective date of this Agreementthe 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Mota Group, Inc.), Underwriting Agreement (Mota Group, Inc.)

Prior Securities Transactions. During For the period starting past three (3) completed fiscal years prior to through the date of this Agreementhereof, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and Package, the Preliminary Prospectus, or the SEC Reports or, with respect to parties other than the Company, other filings by such other persons with the Commission.

Appears in 2 contracts

Samples: Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (Cesca Therapeutics Inc.)

Prior Securities Transactions. During In the period starting three (3) years prior to the date of this Agreementhereof, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 2 contracts

Samples: Underwriting Agreement (Immuron LTD), Underwriting Agreement (Immuron LTD)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the any Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Alset Inc.)

Prior Securities Transactions. During the period starting three (3) years prior to the date of this AgreementSince June 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Epsium Enterprise LTD)

Prior Securities Transactions. During the period starting last three (3) years prior to the date of this Agreementyears, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Oramed Pharmaceuticals Inc.

Prior Securities Transactions. During Within the two (2)-year period starting three (3) years prior to the date of this Agreementhereof, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Idw Media Holdings, Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package Package, any Preliminary Prospectus, and any periodic report filed by the Company with the Commission in accordance with the requirements of the Exchange Act and the Preliminary ProspectusExchange Act Regulations.

Appears in 1 contract

Samples: Underwriting Agreement (Cerberus Cyber Sentinel Corp)

Prior Securities Transactions. During For the period starting last three (3) years prior to 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 or under common control with the Company, except as disclosed or incorporated by reference in the Registration Statement, the Pricing Disclosure Package Package, and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Cel Sci Corp)

Prior Securities Transactions. During For the period starting last three (3) years prior to 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, except as disclosed or incorporated by reference in the Registration Statement, the Pricing Disclosure Package Package, and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Cel Sci Corp)

Prior Securities Transactions. During For the period starting three (3) past two completed fiscal years prior to through the date of this Agreementhereof, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary ProspectusProspectus or, with respect to parties other than the Company, other filings by such other persons with the Commission.

Appears in 1 contract

Samples: Placement Agency Agreement (Nemaura Medical Inc.)

Prior Securities Transactions. During the period starting three (3) years prior to the date of this AgreementSince January 1, 2022, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Presidio Property Trust, Inc.)

Prior Securities Transactions. During the period starting past three (3) years prior to 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and any Preliminary Prospectus except for gifts made by or on behalf of, or for the Preliminary Prospectusbenefit of, any person or persons controlling, controlled by or under common control with the Company.

Appears in 1 contract

Samples: Lock Up Agreement (Origin Life Sciences, Inc.)

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