Common use of Recent Securities Transactions, etc Clause in Contracts

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 6 contracts

Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)

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Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, neither the Company has notnor any Subsidiary has: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney except obligations incurred in the ordinary course of business; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 6 contracts

Samples: Underwriting Agreement (Xenetic Biosciences, Inc.), Underwriting Agreement (Xenetic Biosciences, Inc.), Underwriting Agreement (Oasmia Pharmaceutical AB)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney except liabilities or obligations incurred in the ordinary course; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stockstock except in the ordinary course.

Appears in 4 contracts

Samples: Underwriting Agreement (Mapi - Pharma LTD), Underwriting Agreement (Mapi - Pharma LTD), Underwriting Agreement (Ceres, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package Base Prospectus, the Time of Sale Prospectus and the ProspectusProspectus Supplement, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package Base Prospectus, the Time of Sale Prospectus and the ProspectusProspectus Supplement, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 4 contracts

Samples: Placement Agency Agreement (NXT-Id, Inc.), Placement Agency Agreement (NXT-Id, Inc.), NXT-Id, Inc.

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney other than under its existing loan agreements or in the ordinary course of business; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 3 contracts

Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney except obligations incurred in the ordinary course of business; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 3 contracts

Samples: Underwriting Agreement (Aastrom Biosciences Inc), Underwriting Agreement (Aastrom Biosciences Inc), Underwriting Agreement (Aastrom Biosciences Inc)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package Pricing Prospectus and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package Pricing Prospectus and the Prospectus, the Company has not: and its Subsidiaries have not (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; money other than in the ordinary course of business, or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 3 contracts

Samples: Underwriting Agreement (D. Medical Industries Ltd.), Underwriting Agreement (D. Medical Industries Ltd.), Underwriting Agreement (D. Medical Industries Ltd.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 2 contracts

Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (securities, other than equity grants under any stock compensation to service providers in the normal course of business) plan, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 2 contracts

Samples: Underwriting Agreement (Golden Heaven Group Holdings Ltd.), Underwriting Agreement (Golden Heaven Group Holdings Ltd.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney except liabilities or obligations incurred in the ordinary course; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 2 contracts

Samples: Underwriting Agreement (Precipio, Inc.), Underwriting Agreement (DarioHealth Corp.)

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Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity pursuant to the Company’s stock compensation to service providers in the normal course of businessplans) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: Underwriting Agreement (Gain Therapeutics, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stockstock (other than any dividend or other distribution provided by SCP).

Appears in 1 contract

Samples: Underwriting Agreement (Sachem Capital Corp.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities (other than equity (i) grants under any share compensation to service providers in the normal course plan and (ii) common shares issued upon exercise or conversion of business) option, warrants or incurred any liability or obligation, direct or contingent, for borrowed moneyconvertible securities); or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stockshares.

Appears in 1 contract

Samples: Underwriting Agreement (PeerStream, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package Base Prospectus, the Time of Sale Prospectus and the ProspectusProspectus Supplement, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package and Base Prospectus, the Time of Sale Prospectus, the Prospectus Supplement, the Company has not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: xG TECHNOLOGY, INC.

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the General Disclosure Package Pricing Prospectus and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the General Disclosure Package Pricing Prospectus and the Prospectus, the Company has and its Subsidiaries have not: (i) issued any securities (other than equity compensation to service providers in the normal course of business) or incurred any liability or obligation, direct or contingent, for borrowed moneymoney other than in the ordinary course of business and consistent with past practice; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: Underwriting Agreement (Mission NewEnergy LTD)

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