Rated Securities. At the Time of Sale there were, and as of the Closing there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 15 contracts
Samples: Underwriting Agreement (Adcare Health Systems, Inc), Underwriting Agreement (Adcare Health Systems, Inc), Underwriting Agreement (Miller Energy Resources, Inc.)
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.;
Appears in 6 contracts
Samples: Placement Agency Agreement (MDRNA, Inc.), Placement Agency Agreement (MDRNA, Inc.), Placement Agency Agreement (Delcath Systems Inc)
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 6 contracts
Samples: Placement Agency Agreement (KMG Chemicals Inc), Subscription Agreement (BPZ Resources, Inc.), Placement Agency Agreement (Delcath Systems Inc)
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 5 contracts
Samples: Placement Agency Agreement (Delcath Systems, Inc.), Placement Agency Agreement (Delcath Systems, Inc.), Underwriting Agreement (Delcath Systems, Inc.)
Rated Securities. At the Time of Sale there were, and as of the each Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Yuma Energy, Inc.), Underwriting Agreement (Delcath Systems Inc), Underwriting Agreement (Delcath Systems Inc)
Rated Securities. At the Applicable Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 2 contracts
Samples: Purchase Agreement (Applied Optoelectronics, Inc.), Purchase Agreement (Applied Optoelectronics, Inc.)
Rated Securities. At the Time of Sale there were, and as of the Closing Date, there will be, no securities of or guaranteed by the Company or Guarantor that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 2 contracts
Samples: Underwriting Agreement (GWG Life, LLC), Underwriting Agreement (GWG Life, LLC)
Rated Securities. At the Time of Sale there were, and as of the Closing each Time of Delivery there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 2 contracts
Samples: Underwriting Agreement (Northern Oil & Gas, Inc.), Underwriting Agreement (Northern Oil & Gas, Inc.)
Rated Securities. At the Time of Sale there were, and as of the First Closing Date and the Second Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 2 contracts
Samples: Purchase Agreement (Synergy Resources Corp), EnerJex Resources, Inc.
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “"nationally recognized statistical rating organization,” " as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 2 contracts
Samples: Placement Agency Agreement (Magnum Hunter Resources Corp), Placement Agency Agreement (Magnum Hunter Resources Corp)
Rated Securities. At the Time of Sale there were, and as of the Closing Date and each Option Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed guarantees by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Samples: Placement Agency Agreement (Transatlantic Petroleum Ltd.)
Rated Securities. At the Time of Sale there were, and as of the Closing there will be, no securities of or guaranteed by the Company that are rated by a “"nationally recognized statistical rating organization,” " as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Samples: Evolution Petroleum Corp
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “"nationally recognized statistical rating organization,” " as that term is defined by the Commission in Rule 436(g)(2) promulgated 15c3-1 under the Securities Exchange Act.
Appears in 1 contract
Samples: Placement Agency Agreement (Houston American Energy Corp)
Rated Securities. At the Applicable Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company or any of the Guarantors that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Rated Securities. At the Time of Sale there were, and as of the Closing Date, there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Rated Securities. At the Time of Sale Sale, there were, and as of the Closing there will be, no securities of or guaranteed by the Company or the Parent that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Samples: Underwriting Agreement (Gastar Exploration USA, Inc.)
Rated Securities. At the Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed guarantees by the Company that are rated by a “"nationally recognized statistical rating organization,” " as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Rated Securities. At the Initial Sale Time of Sale there were, and as of the Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Rated Securities. At the Time of Sale there were, and as of the Closing each Time of Delivery there will be, no securities of or guaranteed by the Company that are rated by a “"nationally recognized statistical rating organization,” " as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Samples: Underwriting Agreement (Magnum Hunter Resources Corp)
Rated Securities. At the Time of Sale there were, and as of the ]Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
Samples: Purchase Agreement (Bacterin International Holdings, Inc.)
Rated Securities. At the Time of Sale there were, and as of the Closing Date, there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.. 18
Appears in 1 contract
Samples: GWG Holdings, Inc.
Rated Securities. At the each Time of Sale there were, and as of the any Closing Date there will be, no securities of or guaranteed by the Company that are rated by a “nationally recognized statistical rating organization,” as that term is defined in Rule 436(g)(2) promulgated under the Securities Act.
Appears in 1 contract
