Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 348 contracts
Samples: Securities Purchase Agreement (Tharimmune, Inc.), Securities Purchase Agreement (Comstock Inc.), Securities Purchase Agreement (U-Bx Technology Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 208 contracts
Samples: Securities Purchase Agreement (MAIA Biotechnology, Inc.), Securities Purchase Agreement (Volitionrx LTD), Securities Purchase Agreement (Meiwu Technology Co LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 63 contracts
Samples: Securities Purchase Agreement (Apyx Medical Corp), Securities Purchase Agreement (Capital Vista LTD), Securities Purchase Agreement (UTime LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 35 contracts
Samples: Securities Purchase Agreement (SANUWAVE Health, Inc.), Share Purchase Agreement (MediWound Ltd.), Securities Purchase Agreement (Boqii Holding LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 23 contracts
Samples: Purchase Agreement (Us Geothermal Inc), Purchase Agreement (Advanced Cell Technology, Inc.), Purchase Agreement (BioLineRx Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 17 contracts
Samples: Securities Purchase Agreement (Fluent, Inc.), Securities Purchase Agreement (Cidara Therapeutics, Inc.), Securities Purchase Agreement (Fluent, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, has (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 13 contracts
Samples: Securities Purchase Agreement (InsPro Technologies Corp), Securities Purchase Agreement (InsPro Technologies Corp), Securities Purchase Agreement (InsPro Technologies Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Exchange Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Exchange Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 10 contracts
Samples: Exchange Agreement (Ascent Solar Technologies, Inc.), Exchange Agreement (Ascent Solar Technologies, Inc.), Exchange Agreement (Electronic Cigarettes International Group, Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.), Securities Purchase Agreement (Barfresh Food Group Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 7 contracts
Samples: Stock Purchase Agreement (Vaccinex, Inc.), Stock Purchase Agreement (Vaccinex, Inc.), Stock Purchase Agreement (Vaccinex, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (First Choice Healthcare Solutions, Inc.), Underwriting Agreement (Rexahn Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.or
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ab International Group Corp.), Securities Purchase Agreement (MassRoots, Inc.), Securities Purchase Agreement (Medbox, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares or Warrants, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares or Warrants, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Armata Pharmaceuticals, Inc.), Securities Purchase Agreement (Armata Pharmaceuticals, Inc.), Securities Purchase Agreement (Entasis Therapeutics Holdings Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Infobird Co., LTD), Securities Purchase Agreement (Healthy Choice Wellness Corp.), Securities Purchase Agreement (Oncocyte Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Securities, (iib) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, any of the Securities, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securitiessecurities of the Company, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Unit Purchase Agreement (Medovex Corp.), Preferred Stock and Warrant Purchase Agreement (Access Pharmaceuticals Inc), Securities Purchase Agreement (Foldera, Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares in violation of Regulation M under the Exchange Act, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Subscription Agreement, Securities Subscription Agreement, Securities Subscription Agreement (Amarin Corp Plc\uk)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Rallybio Corp), Securities Purchase Agreement (Tranzyme Inc), Purchase Agreement (Provident New York Bancorp)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Soleno Therapeutics Inc)
Regulation M Compliance. The During the term of this Agreement, the Company has will not, and to its knowledge no one any person acting on its the Company’s behalf haswill not, (i) takentake, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) soldsell, bid for, purchased, purchase or paid pay any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid pay or agreed agree to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Titan Iron Ore Corp.), Securities Purchase Agreement (Titan Iron Ore Corp.), Securities Purchase Agreement (Visualant Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 4 contracts
Samples: Securities Purchase Agreement (REE Automotive Ltd.), Securities Purchase Agreement (Range Impact, Inc.), Securities Purchase Agreement (Range Impact, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesNotes, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesNotes, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Note Purchase Agreement (Accelerate Diagnostics, Inc), Note Purchase Agreement (Accelerate Diagnostics, Inc), Note Exchange Agreement (Accelerate Diagnostics, Inc)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC), Securities Purchase Agreement (MeiraGTx Holdings PLC)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesADSs or Ordinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesADSs or Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Tauriga Sciences, Inc.), Securities Purchase Agreement (Anchiano Therapeutics Ltd.), Securities Purchase Agreement (SciSparc Ltd./Adr)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (iib) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Investment Agreement (Rare Element Resources LTD), Investment Agreement (Synchron), Secured Convertible Note Purchase Agreement (Searchlight Minerals Corp.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (ViewRay, Inc.), Securities Purchase Agreement (Bluephoenix Solutions LTD), Securities Purchase Agreement (Amarin Corp Plc\uk)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Alliance MMA, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.), Securities Purchase Agreement (Alliance MMA, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Exchange Agreement (Intercloud Systems, Inc.), Securities Purchase Agreement (Sorrento Therapeutics, Inc.), Securities Purchase Agreement (Soon-Shiong Patrick)
Regulation M Compliance. The Company Investor has not, and to its Investor’s knowledge no one acting on its Investor’s behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De), Warrant Acquisition Agreement (Energy Focus, Inc/De)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesPurchased Shares, (iib) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Purchased Shares or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 3 contracts
Samples: Subscription Agreement (Toro Corp.), Subscription Agreement (Toro Corp.), Subscription Agreement (Pani Corp.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company., other than, in the case of clauses
Appears in 2 contracts
Samples: Securities Purchase Agreement (T Stamp Inc), Securities Purchase Agreement (T Stamp Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Fate Therapeutics Inc), Stock Purchase Agreement (Fate Therapeutics Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (iib) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Arrowhead Pharmaceuticals, Inc.), Stock Purchase Agreement (TESARO, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Bonds or the Conversion Securities, or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Bonds or Conversion Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Convertible Bonds Subscription Agreement (Inovio Pharmaceuticals, Inc.), Convertible Bonds Subscription Agreement (Inovio Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the SecuritiesExchange Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesExchange Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Exchange Agreement (Intercloud Systems, Inc.), Exchange Agreement (Intercloud Systems, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Raptor Pharmaceutical Corp), Securities Purchase Agreement (Raptor Pharmaceutical Corp)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Stock Purchase Agreement (LDK Solar Co., Ltd.), Stock Purchase Agreement (Solar Power, Inc.)
Regulation M Compliance. The Except as set forth in Schedule 3.1(s), the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Palatin Technologies Inc), Securities Purchase Agreement (Palatin Technologies Inc)
Regulation M Compliance. The Company Hxxxxx Securities has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Placement Agent Agreement (Parkervision Inc), Placement Agent Agreement (Parkervision Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Smartag International, Inc.), Securities Purchase Agreement (China North East Petroleum Holdings LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Share Purchase Agreement (Structure Therapeutics Inc.), Share Purchase Agreement (Structure Therapeutics Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (U.S. Gold Corp.), Securities Purchase Agreement (U.S. Gold Corp.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.or
Appears in 2 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesSecurities or Warrant Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesSecurities or Warrant Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Note and Securities Purchase Agreement, Note and Securities Purchase Agreement (PAVmed Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, or purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another Person to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares in violation of Regulation M under the Exchange Act, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (NeuroBo Pharmaceuticals, Inc.), Securities Purchase Agreement (Amarillo Biosciences Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares; (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, of any of the Securities, Shares; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, in each case in violation of Regulation M or to the extent otherwise unlawful.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Syros Pharmaceuticals, Inc.), Stock Purchase Agreement (Syros Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, has (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, ; (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, ; or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Andalay Solar, Inc.), Securities Purchase Agreement (Andalay Solar, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Energy Focus, Inc/De), Securities Purchase Agreement (Energy Focus, Inc/De)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security securities of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Biovie Inc.), Securities Purchase Agreement (Biovie Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Production Payment Purchase Agreement (Golden Phoenix Minerals Inc /Mn/), Share and Warrant Purchase Agreement (Golden Phoenix Minerals Inc /Mn/)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Securities or (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, of any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Stock and Warrant Purchase Agreement (Conseco Inc), Stock and Warrant Purchase Agreement (Paulson & Co Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, has (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Smith Micro Software, Inc.), Securities Purchase Agreement (Smith Micro Software, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, Shares or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) other than compensation paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities the Manager in connection with the placement of the CompanyShares.
Appears in 2 contracts
Samples: At the Market Offering Agreement (NovaBay Pharmaceuticals, Inc.), At the Market Offering Agreement (NovaBay Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Ault Alliance, Inc.), Securities Purchase Agreement (Allarity Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (INFOSONICS Corp), Securities Purchase Agreement (INFOSONICS Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any Stock in violation of Regulation M under the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyExchange Act.
Appears in 2 contracts
Samples: Debt Repayment Agreement (Hut 8 Corp.), Debt Repayment and Exchange Agreement (Gryphon Digital Mining, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) has taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any Securities in violation of Regulation M under the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyExchange Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Stronghold Digital Mining, Inc.), Securities Purchase Agreement (Stronghold Digital Mining, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) other than, compensation paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyManager in connection with the Shares.
Appears in 2 contracts
Samples: At the Market Offering Agreement (Aethlon Medical Inc), At the Market Offering Agreement (Aethlon Medical Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (ProSomnus, Inc.), Securities Purchase Agreement (United States Antimony Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesSecurities in violation of Regulation M, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Oramed Pharmaceuticals Inc.), Securities Purchase Agreement (Scilex Holding Co)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company Common Stock to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iiiii) paid or agreed to pay to any Person any compensation for soliciting another to purchase the Securities or any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digital Brands Group, Inc.), Securities Purchase Agreement (Digital Brands Group, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Telkonet Inc), Securities Purchase Agreement (Telkonet Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.. (gg)
Appears in 1 contract
Samples: Securities Purchase Agreement (Aspira Women's Health Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesSSecurities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The In connection with the Placement, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge the Knowledge of the Company, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) except as set forth in Schedule 3.1(t), paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cleveland Biolabs Inc)
Regulation M Compliance. The Company has not, and to its knowledge knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cleveland Biolabs Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company. (jj) Reserved.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares or the Pre-Funded Warrant, (iib) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares or the Pre-Funded Warrant, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Arrowhead Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Shares of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge the Knowledge of the Company, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesCommon Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesCommon Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Snap Interactive, Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale issuance or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, any of the Securities, Shares or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Tribune Publishing Co)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid US-DOCS\133667321.2 any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (T2 Biosystems, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, : (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, ; or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Securities in violation of Regulation M under the CompanyExchange Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, Inc.)
Regulation M Compliance. The Within the past 12 months, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Duos Technologies Group, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, : (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesNew Shares, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesNew Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (iib) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iiic) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge neither the Company, its Subsidiaries or no one acting on its any of their behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Unrivaled Brands, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, the Exchange of any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares.
Appears in 1 contract
Regulation M Compliance. The Since January 1, 2018, the Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (iib) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Sarepta Therapeutics, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesUnits, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesUnits, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge Knowledge no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Parnell Pharmaceuticals Holdings LTD)
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one Company Party or anyone acting on its behalf of any Company Party has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iiiii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clause (i) and (ii), compensation paid to the Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, except as noted on Schedule 3.1(t).
Appears in 1 contract
Samples: Securities Purchase Agreement (Probility Media Corp)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the New Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the New Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, securities of the Company or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid paid, or agreed to pay to any Person Person, any compensation for soliciting another Person to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, (iib) sold, bid for, purchased, purchased or paid any compensation for soliciting purchases of, any of the SecuritiesSecurities in violation of Regulation M under the Exchange Act, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (iib) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesShares, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Stock Purchase Agreement (Tracon Pharmaceuticals, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge the Knowledge of the Company, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Securities, or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, of any of the Securities, or . (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.ff)
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesCommon Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesCommon Stock, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Samples: Securities Purchase Agreement (Ikanos Communications, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.any
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its the knowledge of the Company no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShare, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securitiessecurities of the Company, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SecuritiesShares, or (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Shares in violation of Regulation M under the CompanyExchange Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, Inc.)
