Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 17 contracts
Samples: Securities Purchase Agreement (Soligenix, Inc.), Securities Purchase Agreement (Genprex, Inc.), Securities Purchase Agreement (Soligenix, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging alleging: (i) a violation of the anti-fraud provisions of the federal securities laws, ; (ii) violations of the anti-touting provisions, ; (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 13 contracts
Samples: Securities Purchase Agreement (XWELL, Inc.), Securities Purchase Agreement (CNS Pharmaceuticals, Inc.), Securities Purchase Agreement (CNS Pharmaceuticals, Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Giga Tronics Inc), Securities Purchase Agreement (Giga Tronics Inc), Security Agreement (Giga Tronics Inc)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 12 contracts
Samples: Securities Purchase Agreement (Volato Group, Inc.), Securities Purchase Agreement (Volato Group, Inc.), Securities Purchase Agreement (T2 Biosystems, Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary Affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 10 contracts
Samples: Securities Purchase Agreement (RiskOn International, Inc.), Securities Purchase Agreement (Alzamend Neuro, Inc.), Securities Purchase Agreement (Ault Alliance, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Inmune Bio, Inc.), Securities Purchase Agreement (Inmune Bio, Inc.), Securities Purchase Agreement (ShiftPixy, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary Company, its subsidiaries, the officers of the Company and none of their respective officersor its subsidiaries, directors, managers, or any affiliates or agents of the Company or its subsidiaries have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; ”, or (iv) promotion without proper disclosure of compensation.
Appears in 6 contracts
Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)
Promotional Stock Activities. Neither the Company Company, nor any Subsidiary of the Company and none of their respective its officers, directors, managers, affiliates or agents agents, have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the U.S. federal securities laws, (ii) violations of the anti-touting provisionsprovisions of the U.S. federal securities laws, (iii) improper “gun-jumping; ” under applicable law or (iv) improper promotion of the Company or its securities without proper adequate disclosure of compensationcompensation information.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Medovex Corp.), Securities Purchase Agreement (Medovex Corp.), Securities Purchase Agreement (Gopher Protocol Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Delcath Systems, Inc.), Securities Purchase Agreement (Delcath Systems, Inc.), Securities Purchase Agreement (Delcath Systems, Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Avalanche International, Corp.), Securities Purchase Agreement (ShiftPixy, Inc.), Securities Purchase Agreement (Spectrum Global Solutions, Inc.)
Promotional Stock Activities. Neither the Company Company, nor any Subsidiary of the Company and none of their respective its officers, directors, managers, affiliates or agents agents, have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (ia) a violation of the anti-fraud provisions of the U.S. federal securities laws, (iib) violations of the anti-touting provisionsprovisions of the U.S. federal securities laws, (iiic) improper “gun-jumping; ” under applicable law, or (ivd) improper promotion of the Company or its securities without proper adequate disclosure of compensationcompensation information.
Appears in 4 contracts
Samples: Secured Convertible Note Purchase Agreement (H-Cyte, Inc.), Secured Convertible Note and Warrant Purchase Agreement (FWHC Holdings, LLC), Securities Purchase Agreement (H-Cyte, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective Buyer, its officers, directors, managers, or any affiliates or agents of Buyer have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 3 contracts
Samples: Share Exchange Agreement (Madison Technologies Inc.), Share Exchange Agreement (Optimus Healthcare Services, Inc.), Share Exchange Agreement (Madison Technologies Inc.)
Promotional Stock Activities. Neither the Company nor Company, its officers, or any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 3 contracts
Samples: Exchange Agreement (AMEDICA Corp), Exchange Agreement (AMEDICA Corp), Exchange Agreement
Promotional Stock Activities. Neither To the Company Knowledge of the Company, neither the Company, nor its officers, nor any Subsidiary Affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 3 contracts
Samples: Acquisition Agreement (SMC Entertainment, Inc.), Acquisition Agreement (SMC Entertainment, Inc.), Share Exchange Agreement (Nu-Med Plus, Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary Affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; , or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Verb Technology Company, Inc.), Securities Purchase Agreement (nFusz, Inc.)
Promotional Stock Activities. Neither To the Company Knowledge of the Company, neither the Company, nor its officers, nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates Affiliates or agents of Company have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Share Exchange Agreement (Yuenglings Ice Cream Corp), Share Exchange Agreement (Yuenglings Ice Cream Corp)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Imunon, Inc.), Securities Purchase Agreement (Imunon, Inc.)
Promotional Stock Activities. Neither the Company nor Company, its officers, or any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, compliant or trading suspension inquiry by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; ”, or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Investment Agreement (Intercloud Systems, Inc.), Investment Agreement (Intercloud Systems, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging would constitute (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Banzai International, Inc.), Securities Purchase Agreement (Banzai International, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and and, to the knowledge of the Company, none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Securities Purchase Agreement (TOP Financial Group LTD), Securities Purchase Agreement (Nano-X Imaging Ltd.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could reasonably be expected to give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Fresh Vine Wine, Inc.), Securities Purchase Agreement (Fresh Vine Wine, Inc.)
Promotional Stock Activities. Neither the Company Company, nor any Subsidiary of the Company and none of their respective its officers, directors, managers, affiliates or agents agents, have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the U.S. federal securities laws, (ii) violations of the anti-touting provisionsprovisions of the U.S. federal securities laws, (iii) improper “gun-jumping; ” under applicable law, or (iv) improper promotion of the Company or its securities without proper adequate disclosure of compensationcompensation information.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Biotricity Inc.), Securities Purchase Agreement (Medovex Corp.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary Affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, ; (ii) violations of the anti-touting provisions, ; (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 2 contracts
Samples: Registration Rights Agreement (Attis Industries Inc.), Securities Purchase Agreement (Attis Industries Inc.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; ” or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor Company, its officers, or any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Troika Media Group, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and and, to the Company’s knowledge, none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor Company, its officers, or any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging alleging: (i) a violation of the anti-fraud provisions of the federal securities laws, ; (ii) violations of the anti-touting provisions, ; (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation..
Appears in 1 contract
Samples: Securities Purchase Agreement (Quoin Pharmaceuticals, Ltd.)
Promotional Stock Activities. Neither the Company Company, its officers, its directors, nor any Subsidiary Affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Alzamend Neuro, Inc.)
Promotional Stock Activities. Neither the Company nor Company, its officers, or any Subsidiary affiliates or agents of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Securities and Exchange Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “"gun-jumping; ", or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cardiff International Inc)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Allarity Therapeutics, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary Company, its Subsidiaries, the officers of the Company and none of their respective officersor the Subsidiaries, directors, managers, or any affiliates or agents of the Company or the Subsidiaries have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; ”, or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Black Cactus Global, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company its Subsidiaries and none of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC alleging constitutes (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; , or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Unrivaled Brands, Inc.)
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company, nor to the knowledge of the Company and none or any Subsidiary any of their respective officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective Company, its officers, directors, managers, or any affiliates or agents of Company have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquired by the SEC alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Share Exchange Agreement (New America Energy Corp.)
Promotional Stock Activities. Neither the Company Company, nor any Subsidiary of the Company and none of their respective its officers, directors, managers, affiliates or agents agents, have engaged in any stock promotional activity that could give rise to a complaint, inquiry, complaint or trading suspension inquiry by the SEC Commission alleging (ia) a violation of the anti-fraud antifraud provisions of the U.S. federal securities laws, (iib) violations of the anti-touting provisionsprovisions of the U.S. federal securities laws, (iiic) improper “"gun-jumping; " under applicable law, or (ivd) improper promotion of the Company or its securities without proper adequate disclosure of compensationcompensation information.
Appears in 1 contract
Promotional Stock Activities. Neither the Company nor any Subsidiary of the Company and none of their respective its officers, directors, managers, affiliates or agents have engaged in any stock promotional activity that could give rise to a complaint, inquiry, or trading suspension by the SEC Commission alleging (i) a violation of the anti-fraud provisions of the federal securities laws, (ii) violations of the anti-touting provisions, (iii) improper “gun-jumping”; or (iv) promotion without proper disclosure of compensation.
Appears in 1 contract
Samples: Securities Purchase Agreement (Allarity Therapeutics, Inc.)