Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 days of FYE YES NO Annual Business Plan (incl. operating budget) Earlier of (i) 30 days after FYE or (ii) 7 days of approval from BOD YES NO Audit Annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ____________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ____________________ YES NO
Appears in 2 contracts
Samples: Loan and Security Agreement (Berkeley Lights, Inc.), Loan and Security Agreement (Berkeley Lights, Inc.)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 days of FYE YES NO Annual Business Plan (incl. operating budget) Earlier of (i) 30 days after FYE or (ii) 7 days of approval from BOD YES NO intellectual property report Quarterly, within 30 days YES NO Audit Annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ____________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ____________________ YES NO
Appears in 2 contracts
Samples: Loan and Security Agreement (Berkeley Lights, Inc.), Loan and Security Agreement (Berkeley Lights, Inc.)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 180 days of after FYE YES NO Borrowing Base Cert., A/R & A/P Agings Monthly, within 30 days YES NO Annual Business Plan (incl. operating budget) Earlier of (i) 30 Annually, within 60 days after FYE or (ii) 7 days of approval from BOD YES NO Audit Annual Semi-annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s 's cash and investments Amount: $ ____________________ YES NO investments Total amount of Borrower’s 's cash and Amount: $ YES NO investments maintained with Bank Total amount of deposits in Excluded Deposit Accounts Amount: $ ____________________ YES NO
Appears in 2 contracts
Samples: Loan and Security Agreement (Hubspot Inc), Loan and Security Agreement (Hubspot Inc)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 180 days of FYE YES NO Borrowing Base Cert., A/R & A/P Agings Monthly, within 25 days YES NO Annual Business Plan (incl. operating budget) Earlier of (i) 30 days As soon as available after FYE or (ii) 7 days of board approval from BOD YES NO Audit Annual Semi-annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ____________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ____________________ YES NO DESCRIPTION APPLICABLE Legal Action > $500,000 (Sect. 6.2(iv)) Notify promptly upon notice YES NO
Appears in 2 contracts
Samples: Loan and Security Agreement (Nutanix, Inc.), Loan and Security Agreement (Nutanix, Inc.)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days days* YES NO Compliance Certificate Monthly, within 30 days days* YES NO CPA Audited, Unqualified F/S (providedAnnually, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity by August 31 for (x) Borrower’s 2017 and 2018 fiscal yearsprior FY YES NO Borrowing Base Cert., and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annuallyinventory report Monthly, within 150 days of FYE 30 days** YES NO Annual Business Plan (incl. operating budget) Earlier Annually, by March 15 of (i) 30 days after FYE or (ii) 7 days of approval from BOD each FY YES NO Audit Annual Semi-annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: Amount $ ____________________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: Amount $ ____________________________ YES NONO * quarterly w/in 30 days during Limited Reporting Period ** not required during Limited Reporting Period.
Appears in 1 contract
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within w/in 30 days YES NO Company Prepared Quarterly F/S Quarterly, w/in 45 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 120 days of FYE YES NO Annual Business Plan (incl. operating budget) Earlier of (i) 30 days after FYE or (ii) 7 days of approval from BOD By 1/31 YES NO Audit Annual YES NO If Public: Semi-annual YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ____________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ____________________ YES NO
Appears in 1 contract
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days days* YES NO Compliance Certificate Monthly, within 30 days days* YES NO CPA Audited, Unqualified F/S (providedAnnually, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity by August 31 for (x) Borrower’s 2017 and 2018 fiscal yearsprior FY YES NO Borrowing Base Cert., and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annuallyinventory report Monthly, within 150 days of FYE 30 days** YES NO Annual Business Plan (incl. operating budget) Earlier Annually, by March 15 of (i) 30 days after FYE or (ii) 7 days of approval from BOD each FY YES NO Audit Annual Semi-annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s Borrowers’ cash and investments Amount: $ _$___________________ YES NO Total amount of Borrower’s Borrowers’ cash and investments maintained maintain with Bank Amount: $ _$___________________ YES NONO * quarterly w/in 30 days during Limited Reporting Period ** not required during Limited Reporting Period.
Appears in 1 contract
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 120 days of FYE YES NO Borrowing Base Cert. Monthly, within 30 days YES NO Annual Business Plan Projections (incl. operating budget) Earlier Annually, within 60 days of (i) YE YES NO Intellectual Property Report Annually, within 30 days after FYE or (ii) 7 days of approval from BOD YE YES NO Audit Annual Annually YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ________$____________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ________$____________ YES NONO maintained with Bank
Appears in 1 contract
Samples: Loan and Security Agreement (Max International Inc)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days YES NO Compliance Certificate Monthly, within 30 days YES NO CPA Audited, Unqualified F/S (provided, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annually, within 150 120 days of FYE YES NO Borrowing Base Cert. Monthly, within 30 days YES NO Annual Business Plan Projections (incl. operating budget) Earlier Annually, within 60 days of (i) YE YES NO Intellectual Property Report Annually, within 30 days after FYE or (ii) 7 days of approval from BOD YE YES NO Audit Annual Annually YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 YES NO days) YES NO 10-K Annually, within 5 days of SEC filing (95 YES NO days) YES NO Total amount of Borrower’s cash and investments Amount: $ ________$____________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ________$____________ YES NONO maintained with Bank
Appears in 1 contract
Samples: Loan and Security Agreement (Max International Inc)
Reporting Covenants Required Complies. Company Prepared Monthly F/SCompany Prepared Quarterly F/S Monthly, within 30 days YES NO Quarterly, within 45 days Yes Yes No No N/A N/A Compliance Certificate Monthly, within 30 days YES NO Yes No N/A CPA Audited, Unqualified F/S (providedS, however, notwithstanding the foregoing, such financial statements may include a goingas set forth in 10-concern comment or qualification with respect to Borrower’s liquidity for (x) Borrower’s 2017 and 2018 fiscal years, and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) K Annually, within 150 90 days of FYE YES NO Yes No N/A Borrowing Base Certificate Monthly, within 15 days, when loan outstanding > $12,000,000; Quarterly, within 15 days, when loan outstanding <= $12,000,000 Yes No N/A A/R and A/P Agings Monthly, within 15 days Yes No N/A Annual Business Plan (incl. operating budget) Earlier of (i) Annually, within 30 days after FYE or (ii) 7 of start of FY Yes No N/A Intellectual Property Report Quarterly within 30 days of approval from BOD YES NO Audit Annual YES NO If Public: YES NO Yes No N/A 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO Yes No N/A 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: $ ____________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: $ ____________________ YES NOYes No N/A
Appears in 1 contract
Samples: Loan and Security Agreement (Maxwell Technologies Inc)
Reporting Covenants Required Complies. Company Prepared Monthly F/S Monthly, within 30 days days* YES NO Compliance Certificate Monthly, within 30 days days* YES NO CPA Audited, Unqualified F/S (providedAnnually, however, notwithstanding the foregoing, such financial statements may include a going-concern comment or qualification with respect to Borrower’s liquidity by August 31 for (x) Borrower’s 2017 and 2018 fiscal yearsprior FY YES NO Borrowing Base Cert., and (y) if otherwise permitted by Bank via email confirmation in its reasonable discretion) Annuallyinventory report Monthly, within 150 days of FYE 30 days** YES NO Annual Business Plan (incl. operating budget) Earlier Annually, by March 15 of (i) 30 days after FYE or (ii) 7 days of approval from BOD each FY YES NO Audit Annual Semi-annual YES NO If Public: YES NO 10-Q Quarterly, within 5 days of SEC filing (50 days) YES NO 10-K Annually, within 5 days of SEC filing (95 days) YES NO Total amount of Borrower’s cash and investments Amount: Amount $ __________________________ YES NO Total amount of Borrower’s cash and investments maintained with Bank Amount: Amount $ __________________________ YES NONO * quarterly w/in 30 days during Limited Reporting Period ** not required during Limited Reporting Period.
Appears in 1 contract