Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 5 contracts
Samples: Sales Agreement (Mid America Apartment Communities Inc), Sales Agreement (Mid America Apartment Communities Inc), Sales Agreement (Mid America Apartment Communities Inc)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall each furnish CF&Co the Placement Agent with a its respective certificate, each in the form attached hereto as Exhibit 7(n) E, within three two (32) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a each certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and the Company and the Manager did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company and the Manager shall provide CF&Co the Placement Agent with a its respective certificate, each in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Equity Distribution Agreement (Ready Capital Corp), Equity Distribution Agreement (Sutherland Asset Management Corp), Equity Distribution Agreement (Sutherland Asset Management Corp)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report Annual Report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co the Placement Agent with a certificatecertificates, in the form attached hereto as Exhibit 7(n) E and Exhibit F, respectively, within three (3) Trading Days of any after each Representation Date if requested by CF&CoDate. The requirement to provide a certificate certificates under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company and the Manager relied on such waiver and did not provide CF&Co the Placement Agent with a certificate certificates under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company and the Manager shall provide CF&Co the Placement Agent with a certificatecertificates, in the form attached hereto as Exhibit 7(n)E and Exhibit F, respectively, dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Equity Distribution Agreement (Ellington Financial Inc.), Equity Distribution Agreement (Ellington Financial Inc.), Equity Distribution Agreement (Ellington Financial Inc.)
Representation Dates; Certificate. On During the term of this Agreement, on or prior to the date that the Company first Shares are sold pursuant to the terms of this Agreement delivers a Placement Notice hereunder, and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Canaccord (but in the case of clause (iv) above only if Canaccord reasonably determines that the financial information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. A. The requirement to provide a certificate under this Section 7(n7(p) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation DateDate following the delivery of such Placement Notice; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Canaccord with a certificate under this Section 7(n7(p), then before the Company delivers the Placement Notice or CF&Co Canaccord sells any Placement Shares, the Company shall provide CF&Co Canaccord with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Equity Distribution Agreement (Oramed Pharmaceuticals Inc.), Equity Distribution Agreement (Oramed Pharmaceuticals Inc.), Equity Distribution Agreement (Oramed Pharmaceuticals Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Sales Agreement (DiamondRock Hospitality Co), Sales Agreement (DiamondRock Hospitality Co), Sales Agreement (DiamondRock Hospitality Co)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement7(l)) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act or (v) files a Form 8-K under the Exchange Act for any other purpose (other than to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K) (each date of filing of one or more of the documents referred to in clauses (i) through (ivv) shall be a “Representation Date”); the Company shall furnish CF&Co (but in the case of clauses (iv) and (v) above only if CF&Co reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at during a time at fiscal quarter during which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a does not intend to sell Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and Shares prior to the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Sales Agreement (Nationwide Health Properties Inc), Sales Agreement (Nationwide Health Properties Inc), Sales Agreement (Nationwide Health Properties Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Equity Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agent (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(n) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 4 contracts
Samples: Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Sales Agreement (Anworth Mortgage Asset Corp), Sales Agreement (Lexington Realty Trust), Sales Agreement (Anworth Mortgage Asset Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement First Delivery Date and each time after the First Delivery Date the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K under the Exchange Act containing amended audited financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144144 under the Exchange Act) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co HCW with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three five (35) Trading Days of any Representation Date if requested by CF&CoHCW. The requirement to provide a certificate under this Section 7(n7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date, including for purposes of Sections 7(n) and (o) hereof) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co HCW with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co HCW sells any Placement Shares, the Company shall provide CF&Co HCW with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Sales Agreement (Capricor Therapeutics, Inc.), Sales Agreement (Capricor Therapeutics, Inc.), Common Stock Sales Agreement (Capricor Therapeutics, Inc.)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report Annual Report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
(iii) files its quarterly results of operations on Form 6-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) furnishes or files a current report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act that is incorporated by reference into the Registration Statement; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”); ) the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificatecertificate within five (5) Trading Days of each Representation Date, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l), modified, as necessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(1) shall be waived for any Representation Date occurring at a time at which no a Placement Notice is pendingnot pending or a suspension is in effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Placement Notice was not pending or a suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 3 contracts
Samples: Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Capital on Demand Sales Agreement (Galmed Pharmaceuticals Ltd.), Capital on Demand Sales Agreement (NeuroSense Therapeutics Ltd.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and (A) each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of K, and other than a report on Form 8-K relating to containing financial information of a tenant of the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144Company or its subsidiaries) under the Exchange Act and (B) (i) upon recommencement of sales after a suspension in accordance with Section 4 hereof or (ii) upon delivery of a notice to Xxxxxxx Xxxxx that the Company intends to recommence sales after a Suspension Period in accordance with Section 7(l) hereof and as reasonably requested (each date of filing of one or more of the documents referred to in clauses (iA)(i) through (iv) and any date of recommencement after a suspension referred to in clause (B)(i) and (B)(ii) shall be a “Representation Date”); the Company shall furnish CF&Co xxxxxxx Xxxxxxx Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Exchange Trading Days of any Representation Date if requested by CF&CoXxxxxxx Xxxxx. The requirement to provide a certificate under this Section 7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. K; provided, further, however, that the obligation of the Company under this Section 7(n) shall be deferred during any Suspension Period and shall recommence upon the termination of such Suspension Period. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxxxx with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells Xxxxxxx Xxxxx xxxxx any Placement Shares, the Company shall provide CF&Co Xxxxxxx Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Empire Petroleum Corp), Equity Distribution Agreement (Applied Optoelectronics, Inc.), Equity Distribution Agreement (Applied Optoelectronics, Inc.)
Representation Dates; Certificate. On or prior to the date that of the first Shares are sold pursuant Placement Notice delivered by the Company to the terms of this Agreement Agents (such date, the “First Placement Date”) and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”); ) the Company shall furnish CF&Co the Agents (but in the case of clause (iv) above only if the Agents reasonably determine that the information contained in such Form 8-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co sells the Agents sell any Placement Shares, the Company shall provide CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n7(l), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Capital on Demand Sales Agreement (Aileron Therapeutics Inc), Capital on Demand Sales Agreement (Actinium Pharmaceuticals, Inc.), Capital on Demand Sales Agreement (CNS Pharmaceuticals, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m8(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n8(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n8(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n8(m), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Sales Agreement (American Capital Agency Corp), Sales Agreement (American Capital Agency Corp), Sales Agreement (American Capital Agency Corp)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date that of the first Shares are sold pursuant to the terms Placement Notice given hereunder and within 7 days of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) relating solely to an offering of this Agreementsecurities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to a previously filed Form 10-K); (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial FASB Accounting Standards Codification No. 144360) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the . The Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company next delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement Shares, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: At Market Issuance Sales Agreement (Novavax Inc), At Market Issuance Sales Agreement (Novavax Inc), At Market Issuance Sales Agreement (Novavax Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each Act. Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); .” the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) D within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n)D, dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Essex Property Trust Inc), Equity Distribution Agreement (Essex Property Trust Inc), Equity Distribution Agreement (Essex Property Trust Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, sticker or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items Item 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations (including in accordance with Statement of Financial Accounting Standards No. 144an earnings release)) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agents, the Forward Sellers or the Forward Purchasers (each such date of filing of one or more of the documents referred to in clauses (iSection 8(o)(1) through (ivand any time of request pursuant to this Section 8(o)(2) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agents, the Forward Sellers and the Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(n) F, within three (3) two Trading Days of following any Representation Date if requested by CF&Co(except in the case of a waiver under the following sentence (a “Waiver”), in which case such certificate shall be furnished with or preceding the relevant Placement Notice). The requirement to provide a certificate under this Section 7(n8(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver Waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. ). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver Waiver and did not provide CF&Co the Agents, the Forward Sellers and the Forward Purchasers with a certificate under this Section 7(n8(o), then then, before the Company delivers the Placement Notice or CF&Co any Agent or Forward Seller sells any Placement Shares, the Company shall provide CF&Co the Agents, the Forward Sellers and the Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement Placement Notice is given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K); (iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Sales Agents within three (3) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Sales Agents with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells the Sales Agents sell any Placement Shares, the Company shall provide CF&Co the Sales Agents with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Sales Agreement (Scilex Holding Co), Sales Agreement (Scilex Holding Co), Sales Agreement (Sorrento Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information statements (other than an earnings release, to “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) ), or financial statements required by Rule 3-14 of Regulation S-X, under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date that the first Shares are sold pursuant to the terms of this Agreement each Placement Notice given hereunder, and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 1020-K under the Exchange Act; (iii) files its quarterly reports on Form 10F or 40-Q F under the Exchange Act; or (iviii) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 86-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “Representation Date”); the Company shall furnish CF&Co Canaccord (but in the case of clause (iii) above only if Canaccord reasonably determines that the financial information contained in such Form 6-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. A. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F or 40-F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Canaccord with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Canaccord sells any Placement Shares, the Company shall provide CF&Co Canaccord with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Sundial Growers Inc.), Equity Distribution Agreement (Sundial Growers Inc.), Equity Distribution Agreement (Sundial Growers Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m8(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder or to any Alternative Agent under the Alternative Sales Agreement (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n8(m), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement Shares, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (MTGE Investment Corp.), Sales Agreement (MTGE Investment Corp.)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; Act (each date of filing of the Company’s annual report on Form 10-K shall be a “10-K Representation Date”);
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Operating Partnership shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) G, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company and the Operating Partnership shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)G, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Arbor Realty Trust Inc), Equity Distribution Agreement (Arbor Realty Trust Inc)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and subsequently thereafter:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) E, within three (3) Trading Days of any Representation Date if requested required by CF&Cothe Placement Agent. The requirement to provide a certificate under this Section 7(n7(o) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (PLx Pharma Inc.), Equity Distribution Agreement (PLx Pharma Inc.)
Representation Dates; Certificate. On or prior to Each time during the date that the first Shares are sold pursuant to the terms term of this Agreement and each time that the Company Company:
(i) files the Prospectus relating to the Placement Shares or post-effectively amends or supplements the Registration Statement or supplements the Prospectus relating to in either case such that the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendmentaudited financial information contained therein is amended, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended audited financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”); ) the Company shall furnish CF&Co MLV no later than five (5) Trading Days after each Representation Date (but in the case of clause (iv) above only if MLV reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co MLV with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co MLV sells any Placement Shares, the Company shall provide CF&Co MLV with a certificate, in the form attached hereto as Exhibit 7(n7(l), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: At Market Issuance Sales Agreement (Coronado Biosciences Inc), At Market Issuance Sales Agreement (Coronado Biosciences Inc)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus Prospectuses relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(mrelating solely to an offering of securities other than the Placement Shares) of this Agreement) the Registration Statement or the Prospectuses relating to the Placement Shares by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus Prospectuses relating to the Placement Shares; ;
(ii) files an annual report on Form 1040-K F or 20-F under the Exchange Act; ;
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 86-K or to provide disclosure pursuant to Item 8.01 of Form 86-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act; or
(iv) files a Form 6-K under the Exchange Act for any other purpose (other than to “furnish” information pursuant to revised Form 6-K) (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectuses as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(k) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(k), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Aurinia Pharmaceuticals Inc.), Sales Agreement (Aurinia Pharmaceuticals Inc.)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers issues a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares issues a Replacement Notice following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Introgen Therapeutics Inc), Sales Agreement (Sangamo Biosciences Inc)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange Act; Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
(iii) files its quarterly or six-month reports on Form 106-Q K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; or or
(iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at in which no Placement Notice is pendingpending (including as a result of a Suspension being in effect), which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder or instructions for the sale of Placement Shares hereunder, as applicable, (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver applied and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Rosetta Genomics Ltd.), Sales Agreement (Rosetta Genomics Ltd.)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent and the Alternative Agent with a certificate, in the form attached hereto as Exhibit 7(n) E, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent and the Alternative Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent and the Alternative Agent with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Impac Mortgage Holdings Inc), Equity Distribution Agreement (Impac Mortgage Holdings Inc)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report Annual Report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co the Placement Agent with a certificatecertificates, in the form attached hereto as Exhibit 7(n) E and Exhibit F, respectively, within three (3) Trading Days of any after each Representation Date if requested by CF&CoDate. The requirement to provide a certificate certificates under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company and the Manager relied on such waiver and did not provide CF&Co the Placement Agent with a certificate certificates under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company and the Manager shall provide CF&Co the Placement Agent with a certificatecertificates, in the form attached hereto as Exhibit 7(n)E and Exhibit F, respectively, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Ellington Financial Inc.), Equity Distribution Agreement (Ellington Financial LLC)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement Placement Notice is given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report Annual Report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K); (iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Sales Agent within three (3) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Sales Agent with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co the Sales Agent sells any Placement Shares, the Company shall provide CF&Co the Sales Agent with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Aqua Metals, Inc.), Sales Agreement (Heliogen, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, stickersticker or supplement, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities (except as set forth in clauses (ii) through (v));
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act; ;
(iii) files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or ;
(iv) files (as opposed to furnishes) an Earnings 8-K;
(v) files a report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act Act; and
(vi) files an amendment to any document referred to in clauses (ii) through (v) above (each such date of filing of one or more of the documents referred to in clauses (i) through (ivvi) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n) E, executed by the Company’s Chief Executive Officer, Chief Financial Officer or Chief Legal Officer, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n7(o), then then, before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Park Ohio Holdings Corp), Equity Distribution Agreement (Olympic Steel Inc)
Representation Dates; Certificate. (1) On or prior to the date that of the first Shares are sold pursuant to Placement Notice and (2) following the terms delivery of this Agreement and the first Placement Notice, each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Stereotaxis, Inc.), Sales Agreement (Stereotaxis, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, sticker or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items Item 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations (including in accordance with Statement of Financial Accounting Standards No. 144an earnings release)) under the Exchange Act Act; and
(2) at any other time reasonably requested by Barclays (each such date of filing of one or more of the documents referred to in clauses (iSection 7(o)(1) through (ivand any time of request pursuant to this Section 7(o)(2) shall be a “Representation Date”); , the Company shall furnish CF&Co Barclays with a certificate, in the form attached hereto as Exhibit 7(n) F, within three (3) Trading Days of following any Representation Date if requested by CF&Co(except in the case of a waiver under the following sentence (a “Waiver”), in which case such certificate shall be furnished with or preceding the relevant Placement Notice). The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. ). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Barclays with a certificate under this Section 7(n7(o), then then, before the Company delivers the Placement Notice or CF&Co Barclays sells any Placement SharesSecurities, the Company shall provide CF&Co Barclays with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Representation Dates; Certificate. (1) On or prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 1020-F or a report of financials on Form 6-K under the Exchange ActAct (including any Form 20-F/A or Form 6-K/A containing amended financial information or a material amendment to the previously filed Form 20-F or Form 6-K); or
(iii) files its quarterly reports on Form 10-Q under with the Exchange Act; or (iv) files Commission a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act that is material to the offering of securities of the Company in the reasonable discretion of the Agent, where such report indicates that it is incorporated by reference into the Registration Statement and Prospectus (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iii) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which a Suspension is in effect or there is no Placement Notice is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Securities hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver a Suspension was in effect or there was no Placement Notice in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Securities or CF&Co the Agent sells any Placement SharesSecurities pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeSecurities are issued.
Appears in 2 contracts
Samples: Sales Agreement (Bionomics Limited/Fi), Sales Agreement (Bionomics Limited/Fi)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Operating Partnership shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if reasonably requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company and the Operating Partnership shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (GLADSTONE LAND Corp), Sales Agreement (Gladstone Commercial Corp)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or and
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K 8‑K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) E, within three two (32) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement, Equity Distribution Agreement (Marinus Pharmaceuticals Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Equity Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act; ;
(iii) files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or or
(iv) files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agent (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(n) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Terreno Realty Corp), Equity Distribution Agreement (Terreno Realty Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information statements (other than an earnings release, to “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) ), or financial statements required by Rule 3-14 of Regulation S-X, under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Credit Agricole with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&CoCredit Agricole. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Credit Agricole with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Credit Agricole sells any Placement Shares, the Company shall provide CF&Co Credit Agricole with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Healthcare Realty Trust Inc), Sales Agreement (Healthcare Realty Trust Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Xxxxxxxxxx Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co Xxxxxxxxxx Securities with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxxxxxxx Securities with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Xxxxxxxxxx Securities sells any Placement SharesSecurities, the Company shall provide CF&Co Xxxxxxxxxx Securities with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement Placement Notice is given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F); (iii) files a Form 6-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under Act containing financial information that is incorporated by reference into the Exchange ActRegistration Statement and the Prospectus; or (iv) files or furnishes a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Sales Agent within three (3) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Sales Agent with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co the Sales Agent sells any Placement Shares, the Company shall provide CF&Co the Sales Agent with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Zhongchao Inc.), Sales Agreement (Powerbridge Technologies Co., Ltd.)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; Act (each date of filing of the Company’s annual report on Form 10-K shall be a “10-K Representation Date”);
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agents with a certificate, in the form attached hereto as Exhibit 7(n) F, within three (3) Trading Days of after any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agents with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agents sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agents with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Granite Point Mortgage Trust Inc.), Equity Distribution Agreement (Two Harbors Investment Corp.)
Representation Dates; Certificate. On During the term of this Agreement, on or prior to the date that of the first Shares are sold pursuant to Placement Notice given hereunder, promptly upon each request of Canaccord, and, following the terms of this Agreement and first Placement Notice, each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information that is material to the Company (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Canaccord (but in the case of clause (iv) above only if Canaccord reasonably determines that the financial information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. A. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation DateDate following the delivery of such Placement Notice; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Canaccord with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Canaccord sells any Placement Shares, the Company shall provide CF&Co Canaccord with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (T2 Biosystems, Inc.), Equity Distribution Agreement (T2 Biosystems, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Xxxxx Fargo Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co Xxxxx Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx Fargo Securities with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Xxxxx Fargo Securities sells any Placement SharesSecurities, the Company shall provide CF&Co Xxxxx Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and subsequently thereafter:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
(iii) each time the Company files its quarterly or six-month reports on Form 6-K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) Company under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n) E, within three (3) Trading Days of any Representation Date Date, provided that the obligation to furnish such certificate pursuant to Section 7(o)(iv) shall only be required if requested by CF&Co(x) a Placement Notice is pending and (y) the information contained in such Form 6-K is material to a holder of Ordinary Shares. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar fiscal quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Vascular Biogenics Ltd.), Equity Distribution Agreement (Vascular Biogenics Ltd.)
Representation Dates; Certificate. On or prior to During the term of this Agreement, on the date that of the first Shares are sold pursuant to the terms Placement Notice given hereunder and within 7 days of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) relating solely to an offering of this Agreementsecurities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to a previously filed Form 10-K); (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial FASB Accounting Standards Codification No. 144360) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the . The Company shall furnish CF&Co FBR with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company next delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co FBR with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co FBR sells any Placement Shares, the Company shall provide CF&Co FBR with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: At Market Issuance Sales Agreement (Novavax Inc), At Market Issuance Sales Agreement (Novavax Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each Each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports Quarterly Reports on Form 10-Q under the Exchange Act; or ;
(iv) files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; and on:
(v) each date on which the Company executes and delivers a Terms Agreement; or
(vi) each Settlement Date with respect to a Principal Transaction; each date of filing of one or more of the documents referred to in clauses (i) through (iv), and each of the dates referred to in clauses (v) and (vi), shall be a “Representation Date”); provided however, notwithstanding anything to the contrary contained in this Agreement, the Agents, the Forward Sellers and the Forward Purchasers, as applicable, may waive any documents required to be delivered to them as a result of a Representation Date, the Company shall furnish CF&Co the Agents, the Forward Sellers and the Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(n) E, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. listed in clauses (ii), (v) and (vi) above. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n8(n), then before the Company delivers the Placement Notice or CF&Co any Agent or Forward Seller sells any Placement Shares, the Company shall provide CF&Co the Agents, the Forward Sellers and the Forward Purchasers with a certificate, in the form attached hereto as Exhibit 7(n)E, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Essex Portfolio Lp), Equity Distribution Agreement (Essex Portfolio Lp)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of Placement Securities pursuant to this AgreementAgreement or the Alternative Equity Distribution Agreements) by means of a post-effective amendment, sticker, or supplement (but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities);
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) of this Section 7(o) shall be a “Representation Date”); , the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pendingpending or when a Suspension is in effect, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Velocity Financial, Inc.), Equity Distribution Agreement (Velocity Financial, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m8(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder or to any Alternative Agent under the Alternative Sales Agreement (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n8(m), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement Shares, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (AGNC Investment Corp.), Sales Agreement (AGNC Investment Corp.)
Representation Dates; Certificate. On or Three Trading Days prior to the date that the first Shares are sold pursuant to the terms of this Agreement First Delivery Date and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Avanir Pharmaceuticals, Inc.), Sales Agreement (Stemcells Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n) ), within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Controlled Equity Offerings Sales Agreement (First Potomac Realty Trust), Sales Agreement (First Potomac Realty Trust)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange Act; Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
(iii) files its quarterly or six-month reports on Form 106-Q K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; or or
(iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) Company under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: At the Market Equity Offering Sales Agreement (Galmed Pharmaceuticals Ltd.), Sales Agreement (Galmed Pharmaceuticals Ltd.)
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) G, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)G, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Northstar Realty Finance Corp.), Equity Distribution Agreement (Northstar Realty Finance Corp.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than by means of a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information furnished pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; or (v) has been reasonably requested by the Agents (each date of filing of one or more of the documents an event referred to in clauses (i) through (ivvi) shall be a “Representation Date”); the Company and the Operating Partnership shall furnish CF&Co the Agents, the Forward Sellers or the Forward Purchasers (but in the case of clause (iv) above only if an Agent, Forward Seller or Forward Purchaser reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) and substance satisfactory to the Agents, Forward Sellers and Forward Purchasers and their counsel, substantially similar to the form previously provided to the Agents, Forward Sellers or Forward Purchasers and their counsel within three (3) five Trading Days of any Representation Date or, in the case of a Representation Date resulting from a Principal Settlement Date, delivered on such Principal Settlement Date, if requested by CF&Cothe Agent, Forward Seller or Forward Purchaser. The requirement to provide a certificate under this Section 7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares or enter into a Forward following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents, Forward Sellers or Forward Purchasers with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells the Agents, Forward Sellers or Forward Purchasers sell any Placement Shares, the Company and the Operating Partnership shall provide CF&Co the Agents, Forward Sellers and Forward Purchasers with a certificate, in certificate substantially similar to the form attached hereto as Exhibit 7(n)previously provided to the Agents, Forward Sellers and Forward Purchasers and their counsel, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Global Medical REIT Inc.), Sales Agreement (Global Medical REIT Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Operating Partnership shall furnish CF&Co with a certificate, in the form attached hereto and substance satisfactory to CF&Co and its counsel, substantially similar to the form previously provided to CF&Co and its counsel, modified, as Exhibit 7(n) necessary, to relate to the Registration Statement and the Prospectus as amended or supplemented, within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, provided however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company and the Operating Partnership shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Gladstone Commercial Corp), Sales Agreement (Gladstone Commercial Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Hatteras Financial Corp), Sales Agreement (Hatteras Financial Corp)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by BMO Capital Markets (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co BMO Capital Markets with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co BMO Capital Markets with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co BMO Capital Markets sells any Placement SharesSecurities, the Company shall provide CF&Co BMO Capital Markets with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, sticker or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items Item 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations (including in accordance with Statement of Financial Accounting Standards No. 144an earnings release)) under the Exchange Act Act; and
(2) at any other time reasonably requested by Xxxxx Fargo Securities (each such date of filing of one or more of the documents referred to in clauses (iSection 7(o)(1) through (ivand any time of request pursuant to this Section 7(o)(2) shall be a “Representation Date”); , the Company shall furnish CF&Co Xxxxx Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(n) F, within three (3) Trading Days of following any Representation Date if requested by CF&Co(except in the case of a waiver under the following sentence (a “Waiver”), in which case such certificate shall be furnished with or preceding the relevant Placement Notice). The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. ). Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx Fargo Securities with a certificate under this Section 7(n7(o), then then, before the Company delivers the Placement Notice or CF&Co Xxxxx Fargo Securities sells any Placement SharesSecurities, the Company shall provide CF&Co Xxxxx Fargo Securities with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (CMS Energy Corp), Equity Distribution Agreement (CMS Energy Corp)
Representation Dates; Certificate. On or Three Trading Days prior to the date that the first Shares are sold pursuant to the terms of this Agreement First Delivery Date and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act (each Act, or Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); .” the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Sunesis Pharmaceuticals Inc), Sales Agreement (Sunesis Pharmaceuticals Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and and:
(1) each time the Company (i) Company:
a. files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) Securities;
b. files an annual report Annual Report on Form 10-K under the Exchange Act; (iii) ;
c. files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or (iv) or
d. files a current report on Form 8-K containing amended financial information (other than an earnings release, release or to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Agents (each such date of filing of one or more of the documents referred to in clauses (i1)(a) through (ivd) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n) C within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o)(2) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co sells the Agents sell any Placement SharesSecurities, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n)C, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Synalloy Corp), Equity Distribution Agreement (Synalloy Corp)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act; Act (including any Annual Report on Form 10-K/A containing amended financial information or a material amendment to the previously filed Annual Report on Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Current Report on Form 8-K or to provide disclosure pursuant to Item 8.01 of Current Report on Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Current Report on Form 8-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Rubicon Technologies, Inc.), Sales Agreement (Rubicon Technologies, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by JMP Securities (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co JMP Securities with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co JMP Securities with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co JMP Securities sells any Placement SharesSecurities, the Company shall provide CF&Co JMP Securities with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement Placement Notice is given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report Annual Report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K); (iii) files its quarterly reports a Quarterly Report on Form 10-Q under the Exchange Act; or (iv) files a report Current Report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Sales Agent within three (3) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Sales Agent with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co the Sales Agent sells any Placement Shares, the Company shall provide CF&Co the Sales Agent with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (ShiftPixy, Inc.), Sales Agreement (Alpine 4 Holdings, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by the Placement Agent (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. (1) On or prior to the date that of the first Shares are sold pursuant to Placement Notice and (2) following the terms delivery of this Agreement and the first Placement Notice, each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 8-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no a Suspension is in effect or prior to the filing of the first Placement Notice is pendingNotice, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Transenterix Inc.), Sales Agreement (Onconova Therapeutics, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information statements or pro forma financial statements (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Operating Partnership shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Controlled Equity Offering Sales Agreement (CapLease, Inc.), Sales Agreement (CapLease, Inc.)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Xxxxx (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Xxxxx sells any Placement SharesSecurities, the Company shall provide CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Whitestone REIT), Equity Distribution Agreement (Whitestone REIT)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “"Representation Date”"); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&Co. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 2 contracts
Samples: Sales Agreement (Essex Property Trust Inc), Sales Agreement (Essex Property Trust Inc)
Representation Dates; Certificate. On or prior to Upon commencement of the date that offering of the first Placement Shares are sold pursuant to under this Agreement (and upon the terms recommencement of the offering of the Placement Shares under this Agreement following the termination of a Suspension Period) and within two (2) Trading Days after any Representation Date, and each time during the term of this Agreement and each time the Forward Contract that the Company (each date of filing of one or more of the documents referred to in clauses (i) files the Prospectus relating to the Placement Shares or through (iv) below shall be a “Representation Date”):
(i) amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report Annual Report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports Quarterly Reports on Form 10-Q under the Exchange ActAct (including any Form 10-Q/A containing amended financial information or a material amendment to the previously filed Form 10-Q); or or
(iv) files a report Current Report on Form 8-K containing amended financial information information, capsule financial information, financial statements, supporting schedules or other financial data (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”)Act; the The Company shall furnish CF&Co the Agents, the Forward Purchasers and the Forward Sellers with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. A. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents, the Forward Purchasers and the Forward Sellers with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co any of the Agents, the Forward Purchasers or the Forward Sellers sells or offers any Placement Shares, the Company shall provide CF&Co the Agents the Forward Purchasers and the Forward Sellers with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice. The obligation of the Company under this Section 7(l) shall be deferred for any Suspension Period and shall recommence upon the termination of such Suspension Period.
Appears in 2 contracts
Samples: At the Market Issuance Sales Agreement (American Homes 4 Rent), At the Market Issuance Sales Agreement (American Homes 4 Rent)
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
(iii) furnishes its quarterly results of operations on Form 6-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files furnishes a current report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act which is incorporated by reference to the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6‑K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 2 contracts
Samples: Sales Agreement (Evogene Ltd.), Sales Agreement (Evogene Ltd.)
Representation Dates; Certificate. (1) On or prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange ActAct (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F); or
(iii) files its quarterly reports a report of Foreign Private Issuer on Form 10-Q under the Exchange Act; or (iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iii) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pendingpending or a Suspension is in effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m8(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K); (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder or to any of the Alternative Agents under the Alternative Sales Agreements (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n8(m), then before the Company delivers the Placement Notice or CF&Co the Agent sells any Placement Shares, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n8(m), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreementhereof) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144144 or to changes in the fair value of assets and liabilities in a merger, acquisition or other change in ownership in accordance with Statement of Financial Accounting Standards No. 141(R) “Business Combinations”) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing. However, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Xxxxx sells any Placement Shares, the Company shall provide CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement NoticeNotice (such date shall also constitute a Representation Date for purposes of this Agreement).
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items Item 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Xxxxxxxxx LLC (each such date of filing of one or more of the documents referred to in clauses clause (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company shall furnish CF&Co Xxxxxxxxx LLC with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxxxxxx LLC with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Xxxxxxxxx LLC sells any Placement SharesSecurities, the Company shall provide CF&Co Xxxxxxxxx LLC with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or Shares, amends or supplements the Registration Statement or supplements the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m8(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company and the Manager shall furnish CF&Co Mitsubishi with a certificate, in the form attached hereto as Exhibit 7(n8(m) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Mitsubishi with a certificate under this Section 7(n8(m), then before the Company delivers the Placement Notice or CF&Co Mitsubishi sells any Placement Shares, the Company shall provide CF&Co Mitsubishi with a certificate, in the form attached hereto as Exhibit 7(n8(m), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange Act; Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F;
(iii) files its quarterly or six-month reports on Form 106-Q K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; or or
(iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 6-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each Act. Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); .” the Company shall furnish CF&Co Barclays with a certificate, in the form attached hereto as Exhibit 7(n) D within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Barclays with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Barclays sells any Placement Shares, the Company shall provide CF&Co Barclays with a certificate, in the form attached hereto as Exhibit 7(n)D, dated the date of the Placement Notice.
Appears in 1 contract
Samples: Equity Distribution Agreement (Essex Property Trust Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and or any Alternative Distribution Agreement and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K 10‑K under the Exchange Act;
(iii) files a quarterly report on Form 10‑Q under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K 8‑K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 1448‑K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Ladenburg (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company and the Operating Partnership shall furnish CF&Co Ladenburg with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. 10‑K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Ladenburg with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Ladenburg sells any Placement SharesSecurities, the Company shall provide CF&Co Ladenburg with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that delivery of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and each time the Company subsequently:
(i) files the a U.S. Prospectus relating to the Placement Shares Shares, amends the Registration Statement by means of a post-effective amendment or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) relating solely to an offering of this Agreementsecurities other than the Placement Shares) by means of a post-effective amendmentsticker or supplement, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the U.S. Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F or Form 40-F under the Exchange ActAct (including any Form 20-F/A or Form 40-F/A that contains restated financial statements); or
(iii) files furnishes its quarterly reports unaudited interim financial statements and management’s discussion and analysis on Form 10-Q under the Exchange Act; or (iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “Representation Date”); the Company shall furnish CF&Co BRFBR with a certificate, in the form attached hereto as Exhibit 7(n7(l) within three (3) Trading Days of any Representation Date if requested by CF&CoDays. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at during a time at fiscal quarter during which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a does not intend to sell Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and Shares prior to the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F or Form 40-F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co BRFBR with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co BRFBR sells any Placement Shares, the Company shall provide CF&Co BRFBR with a certificate, in the form attached hereto as Exhibit 7(n7(l), dated the date of the Placement Notice.
Appears in 1 contract
Samples: At Market Issuance Sales Agreement (Correvio Pharma Corp.)
Representation Dates; Certificate. On or prior to the date that on which the Company first Shares are sold delivers a Placement Notice pursuant to this agreement (the terms of this Agreement “First Placement Notice Date”) and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co SVB Leerink (but in the case of clause (iv) above only if (1) a Placement Notice is pending, (2) SVB Leerink reasonably determines that the information contained in such Form 8-K is material to a holder of Ordinary Shares and (3) SVB Leerink requests such certificate within three (3) days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(n) 7(m), within three (3) Trading Days of any Representation Date if requested by CF&CoSVB Leerink. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co SVB Leerink with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co SVB Leerink sells any Placement Shares, the Company shall provide CF&Co SVB Leerink with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Samples: Sales Agreement (uniQure N.V.)
Representation Dates; Certificate. On or prior to the date that First Delivery Date and each time during the first Shares are sold pursuant to the terms term of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to release or other information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three two (32) Trading Days of any Representation Date if requested by CF&CoXxxxx. The requirement to provide a certificate under this Section 7(n7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co Xxxxx sells any Placement Shares, the Company shall provide CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report on Form 10-K under the Exchange Act; Act (each date of filing of the Company’s annual report on Form 10-K shall be a “10-K Representation Date”);
(iii) each time the Company files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) I and the Advisor shall furnish the Placement Agent with a certificate, in the form attached hereto as Exhibit J, each within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. K Representation Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate the certificates required under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)I and the Advisor shall provide the Placement Agent with a certificate in the form attached hereto as Exhibit J, each dated the date of the Placement Notice.
Appears in 1 contract
Samples: Equity Distribution Agreement (Ashford Hospitality Trust Inc)
Representation Dates; Certificate. On or prior to the date that First Delivery Date and each time during the first Shares are sold pursuant to the terms term of this Agreement and each time the Company subsequently thereafter (i) files the a Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or a prospectus supplement relating solely to an offering other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to release or other information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Xxxxx (but in the case of clause (iv) above only if (1) a Placement Notice is pending, (2) Xxxxx reasonably determines that the information contained in such Form 8-K is material to a holder of Common Stock and (3) Xxxxx requests such certificate within three (3) days after the filing of such Form 8-K with the Commission) with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoXxxxx. The requirement to provide a certificate under this Section 7(n7(m) shall be automatically waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co Xxxxx sells any Placement Shares, the Company shall provide CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the Placement Securities are first Shares are sold pursuant to the terms of this Agreement and and:
(i) each time the Company (i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares Securities (other than a prospectus supplement amendments or supplements that are filed in accordance with Section 7(m) solely to report sales of the Placement Securities pursuant to this Agreement) by means of a post-effective amendment, sticker, or supplement but but, except as set forth in clauses (ii), (iii) and (iv) below, not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) each time the Company files an annual report its Annual Report on Form 10-K under the Exchange Act; ;
(iii) each time the Company files its quarterly reports Quarterly Reports on Form 10-Q under the Exchange Act; or or
(iv) each time the Company files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n) F, within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report Annual Report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Placement Agent with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co the Placement Agent sells any Placement SharesSecurities, the Company shall provide CF&Co the Placement Agent with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 1 contract
Samples: Equity Distribution Agreement (New York Mortgage Trust Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreementhereof) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange ActAct (including any Form 10-K/A containing amended financial information for the Company or a material amendment to the previously filed Form 10-K); (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144144 or to changes in the fair value of assets and liabilities in a merger, acquisition or other change in ownership in accordance with Statement of Financial Accounting Standards No. 141(R) “Business Combinations”) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be deemed to have been waived for any Representation Date referenced in clauses (iii) or (iv) above occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing. However, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Xxxxx with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Xxxxx sells any Placement Shares, the Company shall provide CF&Co Xxxxx with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement NoticeNotice (such date shall also constitute a Representation Date for purposes of this Agreement).
Appears in 1 contract
Samples: Sales Agreement (Franklin Street Properties Corp /Ma/)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Citigroup (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(n) shall be a “Representation Date”); , the Company shall furnish CF&Co Citigroup with a certificate, in the form attached hereto as Exhibit 7(n) F within three two (32) Trading Days of any Representation Date. Except as otherwise notified by Citigroup with respect to a Representation Date if requested by CF&Co. The on which the Company files its Form 10-K, the requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Citigroup with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Citigroup sells any Placement SharesSecurities, the Company shall provide CF&Co Citigroup with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 1 contract
Samples: Equity Distribution Agreement (Washington Real Estate Investment Trust)
Representation Dates; Certificate. On or prior to the date that delivery of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and each time the Company Company:
(i) files the U.S. Prospectus relating to the Placement Shares Shares, amends the Registration Statement by means of a post-effective amendment or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) relating solely to an offering of this Agreementsecurities other than the Placement Shares) by means of a post-effective amendmentsticker or supplement, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange ActAct (including any Form 20-F/A that contains restated financial statements); or
(iii) files furnishes its quarterly reports unaudited interim financial statements and management's discussion and analysis on Form 10-Q under the Exchange Act; or (iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iviii) shall be a “"Representation Date”"); the Company shall furnish CF&Co MLV with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at during a time at fiscal quarter during which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a does not intend to sell Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and Shares prior to the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co MLV with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co MLV sells any Placement Shares, the Company shall provide CF&Co MLV with a certificate, in the form attached hereto as Exhibit 7(n7(l), dated the date of the Placement Notice.
Appears in 1 contract
Samples: At Market Issuance Sales Agreement (Aeterna Zentaris Inc.)
Representation Dates; Certificate. On or prior to the commencement date that the first Shares are sold pursuant to the terms of this Agreement and each time thereafter that the Company Company:
(i) files the a new Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each Act. Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the . The Company shall furnish CF&Co the Distribution Agents with a certificate, in the form attached hereto as Exhibit 7(n) D within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring date the Company and the Distribution Agents mutually agree as a “Representation Date; provided, however, that such waiver shall not apply ” for any the purpose of providing the deliverables required under this Agreement to be provided on a Representation Date on which the Company files its annual report on Form 10-K. Date. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Distribution Agents with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co sells the Distribution Agents sell any Placement Shares, the Company shall provide CF&Co the Distribution Agents with a certificate, in the form attached hereto as Exhibit 7(n)D, dated the date of the Placement Notice.
Appears in 1 contract
Samples: Equity Distribution Agreement (DXP Enterprises Inc)
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) no later than the third Trading Days of Day after any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(m) shall be is hereby waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date); provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-—K. Such waiver shall be automatically reinstated immediately following the final Settlement Date with respect to the Placement Shares covered by such Placement Notice. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co sells any Placement Shares, the Company shall provide CF&Co with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Samples: Sales Agreement (Clearwire Corp /DE)
Representation Dates; Certificate. On or prior to the date that the first Shares Securities are sold pursuant to the terms of this Agreement and and:
(1) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares Securities or amends or supplements the Registration Statement (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; Securities;
(ii) files an annual report on Form 10-K under the Exchange Act; ;
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items Item 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act Act; and
(2) at any other time reasonably requested by Jefferies (each such date of filing of one or more of the documents referred to in clauses (i1)(i) through (iv) and any time of request pursuant to this Section 7(o) shall be a “Representation Date”); , the Company shall furnish CF&Co Jefferies with a certificate, in the form attached hereto as Exhibit 7(n) F within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n7(o) shall be waived for any Representation Date occurring at a time at which no Placement Notice (as amended by the corresponding Acceptance, if applicable) is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares Securities following a Representation Date when the Company relied on such waiver and did not provide CF&Co Jefferies with a certificate under this Section 7(n7(o), then before the Company delivers the Placement Notice or CF&Co Jefferies sells any Placement SharesSecurities, the Company shall provide CF&Co Jefferies with a certificate, in the form attached hereto as Exhibit 7(n)F, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and within five (5) trading days of each time the Company Company:
(i) files the Prospectus Supplement relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares), the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement or Form S-3 filed pursuant to Rule 415(a)(6) but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (each Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); ) the Company shall furnish CF&Co the Agents (but in the case of clause (iv) above only if any Agent reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n7(l) within three (3) Trading Days of any the “Representation Date Certificate”); provided however, if requested by CF&Cono Placement Notice is pending at such Representation Date, then before the Company delivers a Placement Notice or an Agent sells any Placement Shares, the Company shall provide the Agents with a Representation Date Certificate. The requirement to provide a certificate under this Section 7(n) Representation Date Certificate shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. K or a Form S-3 filed pursuant to Rule 415(a)(6). Notwithstanding the foregoing, (i) in the case of the first Placement Notice following the date of this Agreement but prior to the filing of the Company’s annual report on Form 10-K for the year ended December 31, 2019 (the “First Placement Notice”), or (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n)Representation Date Certificate, then before the Company delivers the Placement Notice or CF&Co an Agent sells any Placement Shares, the Company shall provide CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n)Representation Date Certificate, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to Placement Notice and (2) following delivery of the terms of this Agreement and first Placement Notice, each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act, excluding any quarter where no Placement has occurred unless or until the Company issues a Placement notice in such quarter; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 8-K is material) with a certificatecertificate dated the Representation Date, in the form attached hereto and substance reasonably satisfactory to the Agent and its counsel, substantially similar to the form previously provided to the Agent and its counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co the Agent sells any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agent with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement Placement Notice is given hereunder and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 1020-K F under the Exchange ActAct (including any Transition Report containing amended financial information or a material amendment to the previously filed Form 20-F); (iii) files its quarterly reports a report on Form 106-Q K containing amended financial information under the Exchange ActAct incorporated into the Registration Statement; or (iv) files a report on Form 86-K containing amended financial information under the Exchange Act; or (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of v) files a Form 86-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act incorporated into the Registration Statement containing financial statements, supporting schedules or other financial information (each date of filing of one or more of the documents referred to in clauses (i) through (ivv) shall be a “"Representation Date”"); , the Company shall furnish CF&Co Noble within three (3) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(p). The requirement to provide a certificate under this Section 7(n7(p) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 1020-K. F. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Noble with a certificate under this Section 7(n7(p), then before the Company delivers the Placement Notice or CF&Co Noble sells any Placement Shares, the Company shall provide CF&Co Noble with a certificate, in the form attached hereto as Exhibit 7(n7(p), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Placement Shares are sold pursuant to the terms of this Agreement and each time during the Company term of this Agreement that the Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its quarterly reports on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an earnings release, to information “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications reclassification of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Act; (each Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date.”); ) the Company shall furnish CF&Co the Agent (but in the case of clause (iv) above only if the Agent reasonably determines that the information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l). The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. ). Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Agent with a certificate under this Section 7(n7(l), then before the Company delivers the Placement Notice or CF&Co Agent sells any Placement Shares, the Company shall provide CF&Co the Agent with a certificate, in the form attached hereto as Exhibit 7(n7(l), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to Each time during the date that the first Shares are sold pursuant to the terms term of this Agreement and each time that the Company (i) files the Prospectus relating to the Placement Shares or Partnership:
i. amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Securities) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) Securities, by means of a post-effective amendment, sticker, or supplement supplement, but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (Securities;
ii) . files an annual report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F);
iii. furnishes its unaudited interim financial statements and management’s discussion and analysis on Form 6-K under the Exchange ActAct that is incorporated by reference into the Registration Statement; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (or
iv) . files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act containing amended financial statements under the Exchange Act. (each Each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company Partnership shall furnish CF&Co BRFBR (but in the case of clause iv above, only if BRFBR reasonably determines that the information contained in such Form 6-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) A within three five (35) Trading Days of any Representation Date if requested by CF&CoDate, provided, however, in the case of clause (i) above, the Partnership shall furnish BRFBR with a certificate, in the form attached hereto as Exhibit A on or prior to delivery of the first Placement Notice relating to the Placement Securities. The requirement to provide a certificate under this Section 7(n7(1) shall be deemed waived by BRFBR for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company Partnership delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company Partnership files its annual report on Form 1020-K. F. Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company Partnership subsequently decides to sell Placement Shares Securities following a Representation Date when the Company Partnership relied on such waiver and did not provide CF&Co BRFBR with a certificate under this Section 7(n7(1), then before the Company delivers the Placement Notice or CF&Co BRFBR sells any Placement SharesSecurities, the Company Partnership shall provide CF&Co BRFBR with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 1 contract
Samples: At the Market Issuance Sales Agreement (Golar LNG Partners LP)
Representation Dates; Certificate. On or prior to During the date that the first Shares are sold pursuant to the terms term of this Agreement and Agreement, each time the Company Corporation (i) files the Prospectus Prospectuses relating to the Placement Shares or amends or supplements the Registration Statement Statements or the Prospectus Prospectuses relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, amendment or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement Statements or the Prospectus Prospectuses relating to the Placement Shares; (ii) files or amends an annual report on Form 1040-K under the Exchange ActF; (iii) files its quarterly reports or amends interim financial statements on Form 106-Q under the Exchange ActK; or (iv) files a report on Form 8-K containing amended financial information (at any other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to time reasonably requested by the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act Agents (each date of filing of one or more of the documents referred to in clauses (i) through (iii) and any time of request pursuant to (iv) above shall be a “Representation Date”); , the Company Corporation shall furnish CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n) A within three (3) Trading Days of any Representation Date if requested by CF&CoDate. The requirement to provide a certificate under this Section 7(n8(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company Corporation delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company Corporation files its annual report on Form 1040-K. F. Notwithstanding the foregoing, if the Company Corporation subsequently decides to sell Placement Shares following a Representation Date when the Company Corporation relied on such waiver and did not provide CF&Co the Agents with a certificate under this Section 7(n8(n), then before the Company Corporation delivers the Placement Notice or CF&Co sells the Agents sell any Placement Shares, the Company Corporation shall provide CF&Co the Agents with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior (1) Prior to the date that of the first Shares are sold pursuant to the terms of this Agreement Placement Notice and (2) each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 1020-K F under the Exchange Act; Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F;
(iii) files its quarterly or six-month reports on Form 106-Q K under the Exchange ActAct containing financial statements, supporting schedules or other financial data incorporated by reference into the Registration Statement; or or
(iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act incorporated by reference into the Registration Statement (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Agents (but in the case of clause (iv) above only if any Agent reasonably determines that the information contained in such Form 6‑K is material) with a certificate, certificate in the form attached hereto and substance satisfactory to the Agents and their counsel, substantially similar to the form previously provided to the Agents and their counsel, modified, as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Conecessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agents with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co sells the Agents sell any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agents with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(l) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144Board Accounting Standards Codification Subtopic 205-20) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co Barclays and the Alternative Agents with a certificate, in the form attached hereto as Exhibit 7(n7(m) within three (3) Trading Days of any Representation Date if requested by CF&CoBarclays. The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Barclays and the Alternative Agents with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co Barclays sells any Placement Shares, the Company shall provide CF&Co Barclays and the Alternative Agents with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Samples: Sales Agreement (Excel Trust, Inc.)
Representation Dates; Certificate. On During the term of this Agreement, on or prior to the date that the Company first Shares are sold pursuant to the terms of this Agreement delivers a Placement Notice hereunder, and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements (other than a prospectus supplement relating solely to an offering of securities other than the Placement Shares) the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co the Sales Agents (but in the case of clause (iv) above only if the Sales Agents reasonably determines that the financial information contained in such Form 8-K is material) with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co. A. The requirement to provide a certificate under this Section 7(n7(p) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation DateDate following the delivery of such Placement Notice; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co the Sales Agents with a certificate under this Section 7(n7(p), then before the Company delivers the Placement Notice or CF&Co sells the Sales Agents sell any Placement Shares, the Company shall provide CF&Co the Sales Agents with a certificate, in the form attached hereto as Exhibit 7(n)A, dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement First Delivery Date and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than (A) a prospectus supplement filed in accordance with Section 7(m7(l) of this AgreementAgreement or (B) a supplement or amendment that relates to an offering of securities other than the Placement Shares) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents document(s) by reference into to the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 1020-F under the Exchange Act (including any Form 20-F/A containing amended financial information or a material amendment to the previously filed Form 20-F); (iii) files a report on Form 6-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under Act incorporated into the Exchange ActRegistration Statement containing financial statements, supporting schedules or other financial information; or (iv) files a report on Form 86-K containing amended financial information (other than an earnings release, to “furnish” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) under the Exchange Act incorporated into the Registration Statement containing amended financial information; (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co Noble within two (2) Trading Days after each Representation Date with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(m). The requirement to provide a certificate under this Section 7(n7(m) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Noble with a certificate under this Section 7(n7(m), then before the Company delivers the Placement Notice or CF&Co Noble sells any Placement Shares, the Company shall provide CF&Co Noble with a certificate, in the form attached hereto as Exhibit 7(n7(m), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that the first Shares are sold pursuant to the terms of this Agreement and each time the Company (i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m) of this Agreement) by means of a post-effective amendment, sticker, or supplement but not by means of incorporation of documents by reference into the Registration Statement or the Prospectus relating to the Placement Shares; (ii) files an annual report on Form 10-K under the Exchange Act; (iii) files its quarterly reports on Form 10-Q under the Exchange Act; or (iv) files a report on Form 8-K containing amended financial information statements (other than an earnings release, to “furnishfurnished” information pursuant to Items 2.02 or 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144) ), or financial statements required by Rule 3-14 of Regulation S-X, under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); the Company shall furnish CF&Co Liquidnet with a certificate, in the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&CoLiquidnet. The requirement to provide a certificate under this Section 7(n) shall be waived for any Representation Date occurring at a time at which no Placement Notice is pending, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide CF&Co Liquidnet with a certificate under this Section 7(n), then before the Company delivers the Placement Notice or CF&Co Liquidnet sells any Placement Shares, the Company shall provide CF&Co Liquidnet with a certificate, in the form attached hereto as Exhibit 7(n), dated the date of the Placement Notice.
Appears in 1 contract
Representation Dates; Certificate. On or prior to the date that on which the Company first Shares are sold delivers a Placement Notice pursuant to this agreement (the terms of this Agreement “First Placement Notice Date”) and each time the Company Company:
(i) files the Prospectus relating to the Placement Shares or amends or supplements the Registration Statement or the Prospectus relating to the Placement Shares (other than a prospectus supplement filed in accordance with Section 7(m7(k) of this Agreement) by means of a post-effective amendment, sticker, sticker or supplement but not by means of incorporation of documents document(s) by reference into the Registration Statement or the Prospectus relating to the Placement Shares; ;
(ii) files an annual report on Form 10-K under the Exchange Act; Act (including any Form 10-K/A containing amended financial information or a material amendment to the previously filed Form 10-K);
(iii) files its a quarterly reports report on Form 10-Q under the Exchange Act; or or
(iv) files a current report on Form 8-K containing amended financial information (other than an which shall not include any earnings release, to release that is “furnishfurnished” information pursuant to Items Item 2.02 or Item 7.01 of Form 8-K or to provide disclosure pursuant to Item 8.01 of Form 8-K relating to the reclassifications of certain properties as discontinued operations in accordance with Statement of Financial Accounting Standards No. 144K) under the Exchange Act (each date of filing of one or more of the documents referred to in clauses (i) through (iv) shall be a “Representation Date”); , the Company shall furnish CF&Co the Agents (but in the case of clause (iv) above only if (1) a Placement Notice is pending or in effect and (2) the Agents request such certificate within three Business Days after filing of such Form 8-K) with a certificatecertificate dated the Representation Date, in substantially the form attached hereto as Exhibit 7(n) within three (3) Trading Days of any Representation Date if requested by CF&Co7(l), modified, as necessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(n7(l) shall be waived for any Representation Date occurring at a time at which no Placement Notice a Suspension is pendingin effect, which waiver shall continue until the earlier to occur of the date the Company delivers a instructions for the sale of Placement Notice Shares hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date; provided, however, that such waiver shall not apply for any Representation Date on which the Company files its annual report on Form 10-K. . Notwithstanding the foregoing, if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver a Suspension was in effect and did not provide CF&Co the Agents with a certificate under this Section 7(n7(l), then before the Company delivers the instructions for the sale of Placement Notice Shares or CF&Co sells the Agents sell any Placement SharesShares pursuant to such instructions, the Company shall provide CF&Co the Agents with a certificate, certificate in the form attached hereto conformity with this Section 7(l) dated as Exhibit 7(n), dated of the date that the instructions for the sale of the Placement NoticeShares are issued.
Appears in 1 contract
Samples: Sales Agreement (Arcturus Therapeutics Holdings Inc.)