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 (ii) and (iii) above, compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (iSpecimen Inc.), Securities Purchase Agreement (LMP Automotive Holdings, Inc.), Securities Purchase Agreement (CTD 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 person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Augmedix, Inc.), Subscription Agreement (Aeluma, Inc.), Subscription Agreement (Laffin Acquisition 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 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 (ii) and (iii) above), compensation paid to the Company’s Placement Agent in connection with the placement of the Securities.
Appears in 6 contracts
Samples: Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Securities Purchase Agreement (Intelligent Bio Solutions Inc.), Pledge Agreement (Ascent Solar Technologies, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesSecurities in this offering.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Ominto, Inc.), Securities Purchase Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Ominto, 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) 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 (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the SecuritiesShares.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Sysorex, Inc.), Securities Purchase Agreement (LabStyle Innovations Corp.), Share Purchase Agreement (Tikcro Technologies 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 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 (ii) and (iii) above, compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (GeoVax Labs, Inc.), Securities Purchase Agreement (GeoVax Labs, Inc.), Securities Purchase Agreement (VerifyMe, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities. (hh) Reserved.
Appears in 5 contracts
Samples: Securities Purchase Agreement (VNUE, Inc.), Securities Purchase Agreement (LGBTQ Loyalty Holdings, Inc.), Securities Purchase Agreement (SinglePoint 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Juhl Wind, Inc), Securities Purchase Agreement (North American Technologies Group Inc /Tx/), Securities Purchase Agreement (North American Technologies Group Inc /Tx/)
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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent, if any, in connection with the placement of the Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (H-Cyte, Inc.), Securities Purchase Agreement (Ideanomics, Inc.), Securities Purchase Agreement (Ideanomics, Inc.)
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 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 CompanySecurities, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Palisade Bio, Inc.), Securities Purchase Agreement (Palisade Bio, Inc.), Securities Purchase Agreement (Palisade Bio, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with pursuant to the placement of the SecuritiesPlacement Agency Agreement.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Acurx Pharmaceuticals, Inc.), Securities Purchase Agreement (Adamis Pharmaceuticals Corp), Securities Purchase Agreement (Adamis Pharmaceuticals 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Aurelio Resource Corp), Securities Purchase Agreement (MPLC, Inc.), Securities Purchase Agreement (ABC Funding, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (China Security & Surveillance Technology, Inc.), Securities Purchase Agreement (China Bak Battery Inc), Securities Purchase Agreement (China Security & Surveillance Technology, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the Securities.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Premier Biomedical Inc), Securities Purchase Agreement (Zoom Technologies Inc), Securities Purchase Agreement (Zoom Technologies 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 (ii) and clause (iii) above), compensation paid to the Placement Agent placement agents and finders in connection with the placement of such securities and/or the Securitiesissuance of such securities in exchange for securities of other entities, property or other assets.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Li3 Energy, Inc.), Securities Purchase Agreement (POSCO Canada Ltd.), Securities Purchase Agreement (Li3 Energy, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities. (ll) Intentionally Omitted.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Isun, Inc.), Securities Purchase Agreement (Ensysce Biosciences, Inc.), Securities Purchase Agreement (Ensysce 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 Offered Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Offered 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesOffered Securities or the Ordinary Shares.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Prima BioMed LTD), Securities Purchase Agreement (Genetic Technologies LTD), Securities Purchase Agreement (Genetic Technologies 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent (if applicable) in connection with the placement of the Securities.
Appears in 3 contracts
Samples: Exchange Agreement (AMEDICA Corp), Exchange Agreement (AMEDICA Corp), Exchange Agreement
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf (other than the Placement Agent, with respect to which no representation is made) 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, other than, in the case of clauses clause (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Mri Interventions, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities, if any.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Genius Brands International, Inc.), Securities Purchase Agreement (NMT Medical Inc), Securities Purchase Agreement (NMT Medical Inc)
Regulation M Compliance. The Company has not, and 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Frederick's of Hollywood Group Inc /Ny/), Securities Purchase Agreement (American Lorain 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent or finders in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (DarioHealth Corp.), Securities Purchase Agreement (OurCrowd Digital Health L.P.)
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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.. (ll)
Appears in 2 contracts
Samples: Securities Purchase Agreement (Future Healthcare of America), Securities Purchase Agreement (Anpath Group, Inc.)
Regulation M Compliance. The Neither the Company nor SetJet 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Registration Rights Agreement (Revelstone Capital Acquisition Corp.), Registration Rights Agreement (Revelstone Capital Acquisition 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 SecuritiesOrdinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesOrdinary Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesOrdinary Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Brenmiller Energy Ltd.), Securities Purchase Agreement (Brenmiller Energy 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesNotes and Warrants.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Tengion Inc), Securities Purchase Agreement (Tengion 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 SecuritiesOrdinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesOrdinary Shares, 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 (ii) and (iii) above), compensation paid to the Company’s Placement Agent in connection with the placement of the SecuritiesOrdinary Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (NeuroSense Therapeutics Ltd.), Form of Securities Purchase Agreement (NeuroSense Therapeutics 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 SecuritiesOrdinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesOrdinary Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (TOP Financial Group LTD), Securities Purchase Agreement (Nano-X Imaging 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 person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (Titan Pharmaceuticals Inc), Form of Common Stock Purchase Agreement (Titan 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, other than, in the case of clauses (ii) and (iii) above), compensation to be paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Apollo Endosurgery, Inc.), Securities Purchase Agreement (Apollo Endosurgery, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, 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 of the Company, other than, in the case of clauses (ii) and (iii) aboveof this Section 3.1(cc), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Protalex Inc), Securities Purchase Agreement (Protalex Inc)
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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Premier Power Renewable Energy, Inc.), Securities Purchase Agreement (Vlov 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Dunxin Financial Holdings LTD), Securities Purchase Agreement (Jiuzi Holdings, 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Celator Pharmaceuticals Inc), Securities Purchase Agreement (Gse Systems 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, Company other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (xG TECHNOLOGY, INC.), Securities Purchase Agreement (xG TECHNOLOGY, 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) 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares.
Appears in 2 contracts
Samples: Placement Agent Agreement (Inmune Bio, Inc.), Placement Agent Agreement (Inmune Bio, 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 SecuritiesCommon Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securitiesshares of Common Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesCommon Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Versus Systems Inc.), Securities Purchase Agreement (Versus Systems 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 thanexcept, in the case of clauses (ii) and (iii) above, compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Glimpse Group, Inc.), Securities Purchase Agreement (Mechanical Technology 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (PolyPid Ltd.), Securities Purchase Agreement (PolyPid Ltd.)
Regulation M Compliance. The Company has not, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Dejour Enterprises LTD), Securities Purchase Agreement (Dejour Enterprises LTD)
Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (China XD Plastics 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Sino-Global Shipping America, 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 SecuritiesInstruments, (ii) sold, bid for, purchased, or paid any compensation for soliciting purchases of, any of the SecuritiesInstruments, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesInstruments.
Appears in 1 contract
Samples: Purchase Agreement (SOBR Safe, Inc.)
Regulation M Compliance. The Company Issuer 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 Issuer 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 CompanyIssuer, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Faraday Future Intelligent Electric 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: 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 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 person or entity any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii) above), compensation paid to the 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, other than, in the case of clauses (ii) and 18 (iii) above), compensation paid to the 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares. (hh) Reserved.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its actual 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares and as disclosed in the General Disclosure Package.
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 (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agents 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: Series D Preferred Stock Purchase Agreement (International Stem Cell 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 Securitiesshares of Common Stock, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securitiesshares of Common Stock, 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 (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf and at its direction 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, Shares 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf (other than the Placement Agents, with respect to which no representation is made) 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, other than, in the case of clauses clause (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Mri Interventions, 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 (ii) and (iii) above), compensation paid to the Company’s Placement Agent Agents in connection with the placement of the Securities.. (ll)
Appears in 1 contract
Samples: Form of Securities Purchase Agreement (SOCIAL REALITY, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesSecurities or as otherwise set forth in the Prospectus.
Appears in 1 contract
Samples: Securities Purchase Agreement (Nova Lifestyle, 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 SecuritiesSecurities or the Conversion Share, (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, other than, in the case of clauses (ii) and (iii) above, compensation paid to the 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the SecuritiesShares.
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, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares and Warrant.
Appears in 1 contract
Samples: Securities Purchase Agreement (Blue Ridge Bankshares, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Energy Focus, Inc/De)
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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the SecuritiesShares and Warrants.
Appears in 1 contract
Samples: Securities Purchase Agreement (Ocera 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 SecuritiesOrdinary Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesOrdinary Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesOrdinary Shares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Starbox Group Holdings Ltd.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, or will take, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Viveve Medical, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesSecurities or as otherwise set forth in the Prospectus Supplement.
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, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the Securities.
Appears in 1 contract
Regulation M Compliance. The Company has notnot taken, and to its knowledge no has not authorized any one acting on its behalf hasto take, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Unique Fabricating, Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf (other than the Placement Agents, with respect to which no representation is made) 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, other than, in the case of clauses (ii) and clause (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the Securities.
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, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesDebentures.
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, (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 (ii) and (iii) above), compensation paid to the 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Unit Purchase Agreement (Actinium 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Company’s Placement Agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (CollPlant Biotechnologies 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 SecuritiesPlacement Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesPlacement Shares, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement sales of the SecuritiesPlacement Shares hereunder.
Appears in 1 contract
Samples: Enlivex Therapeutics 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 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agents in connection with the placement of the Securities.. (ll)
Appears in 1 contract
Samples: Securities Purchase Agreement (SOCIAL REALITY, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (NXT Nutritionals Holdings, 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Titan 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 (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 clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Immune Pharmaceuticals Inc)
Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, in the last six (6) years, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares.
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 (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 (ii) and (iii) above, compensation paid to the Placement Agent in connection with the placement of the Securities. (kk) Intentionally omitted.
Appears in 1 contract
Samples: Securities Purchase Agreement (Context Therapeutics Inc.)
Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act 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 Offered Securities, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the Securities, Offered 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 clauses (ii) and (iii) above), compensation paid to the Placement Agent Underwriter in connection with the placement of the SecuritiesOffering.
Appears in 1 contract
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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares.
Appears in 1 contract
Samples: Stock Purchase Agreement (Harbor 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 SecuritiesNotes or Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesNotes 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesNotes and Shares.
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 Stock, (ii) sold, bid for, purchased, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesCommon Stock.
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, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the SecuritiesShares and the Warrants.
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, (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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Miv Therapeutics 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 the Shares in violation of Regulation M under the Securities, 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the SecuritiesShares.
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 (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 (ii) and (iii) above), the compensation paid to the Placement Agent pursuant to the Placement Agency Agreement in connection with the placement of the Securities.
Appears in 1 contract
Regulation M Compliance. The Since September 18, 2014, 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 (ii) and (iii) above), compensation paid to the Placement Agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Placement Agency Agreement (Digital Social Retail, 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 SecuritiesPlacement Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesPlacement Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent Agents in connection with the placement of the SecuritiesPlacement Shares.
Appears in 1 contract
Samples: Cipher 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 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, other than, in the case of clauses (ii) and (iii) above), compensation paid to the Placement Agent Company's placement agent in connection with the placement of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Analytical Surveys 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) 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement of the SecuritiesShares or as otherwise set forth in the Prospectus Supplement.
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 SecuritiesPlacement Shares, (ii) sold, bid for, purchased, or or, paid any compensation for soliciting purchases of, any of the SecuritiesPlacement Shares, 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 (ii) and (iii) above), compensation paid to the Placement Agent Company’s placement agent in connection with the placement sale of the SecuritiesPlacement Shares.
Appears in 1 contract
Samples: BioPharmX Corp