Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 20 contracts
Samples: Security Agreement (Universal Security Instruments Inc), Interest Purchase Agreement (Mr. Mango LLC), Greenidge Generation Holdings Inc.
Restricted Securities. The Holder understands that this Warrant and the Securities Shares are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 19 contracts
Samples: Settlement, Release and Cross License Agreement (Juniper Networks Inc), Settlement, Release and Cross License Agreement (Palo Alto Networks Inc), Poshmark, Inc.
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 19 contracts
Samples: Emmaus Life Sciences, Inc., Emmaus Life Sciences, Inc., Highpower International, Inc.
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the each Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 18 contracts
Samples: Assumed Warrant (Catabasis Pharmaceuticals Inc), Assumed Warrant (Catabasis Pharmaceuticals Inc), Tivic Health Systems, Inc.
Restricted Securities. The Holder understands that this Warrant and the Securities Shares are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 17 contracts
Samples: Rights Agreement (Cardiva Medical, Inc.), Quantum Corp /De/, Quantum Corp /De/
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder each Lender represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 9 contracts
Samples: Note Purchase Agreement (RoyaltyTraders LLC), RoyaltyTraders LLC, dfon51l7zffjj.cloudfront.net
Restricted Securities. The Holder understands that this Warrant and the Securities Shares issuable upon exercise of this Warrant are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 7 contracts
Samples: CS Disco, Inc., CS Disco, Inc., CS Disco, Inc.
Restricted Securities. The Holder Such Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Such Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 6 contracts
Samples: Note and Warrant Purchase Agreement (Anterios Inc), Note and Warrant Purchase Agreement (Anterios Inc), Senior Convertible Note Purchase Agreement (Anterios Inc)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 5 contracts
Samples: Nuvelo Inc, Danger Inc, Nuvelo Inc
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch in as much as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended ("the Securities Act, ") only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 5 contracts
Samples: Convertible Loan Agreement (XDL Capital Corp), Ordinary Shares and Warrants Purchase Agreement (Commtouch Software LTD), Shares and Warrants Purchase Agreement (Commtouch Software LTD)
Restricted Securities. The Holder understands that this Warrant and the Securities Shares issuable upon exercise of this Warrant are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.[SIGNATURE PAGE FOLLOWS]
Appears in 4 contracts
Samples: ThredUp Inc., ThredUp Inc., ThredUp Inc.
Restricted Securities. The Holder Such Lender understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities a Securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder Such Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 4 contracts
Samples: Note Purchase and Security Agreement (Lenco Mobile Inc.), Note Purchase and Security Agreement (Lenco Mobile Inc.), Note Purchase and Security Agreement (Lenco Mobile Inc.)
Restricted Securities. The Holder Each Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder Each Lender represents that it is familiar with Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act effect (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 4 contracts
Samples: Note Purchase Agreement (Pure Bioscience, Inc.), Note Purchase Agreement (Pure Bioscience, Inc.), Note Purchase Agreement (Netshoes (Cayman) Ltd.)
Restricted Securities. The Holder Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder The Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 4 contracts
Samples: Note Purchase Agreement (Restoration Robotics, Inc.), Note Purchase Agreement (Soliton, Inc.), Note Purchase Agreement (Soliton, Inc.)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the The Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Series I Agreement (Palantir Technologies Inc.), Series I Agreement (Palantir Technologies Inc.), Palantir Technologies Inc.
Restricted Securities. The Registered Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws Securities Act and Rule 144 promulgated thereunder inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws the Securities Act and applicable regulations thereunder such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Carried Interest Participation Agreement (DigitalBridge Group, Inc.), Common Stock Purchase Warrant (DigitalBridge Group, Inc.), Colony Capital, Inc.
Restricted Securities. The Holder understands that the Securities it is and shall be purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Intellectual Property Purchase Agreement (Nuvasive Inc), Intellectual Property Purchase Agreement (Nuvasive Inc), Nuvasive Inc
Restricted Securities. The Such Holder understands that the Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Theravance Inc, Medscape Inc, Medscape Inc
Restricted Securities. The Holder Lender understands that the Securities are characterized as “restricted securities” and “control securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities a Securities may be resold without registration under the Securities Act of 1933, as amended (the “Act”), only in certain limited circumstances. In this connection, the Holder The Lender represents that it he is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Note Purchase and Security Agreement (GBS Enterprises Inc), Note Purchase and Security Agreement (GBS Enterprises Inc), Note Purchase and Security Agreement (GBS Enterprises Inc)
Restricted Securities. The Holder understands that the Securities Shares are characterized as “restricted securities” under the U.S. federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, 1933 Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Share Redemption and Exchange Agreement (Manning & Napier, Inc.), Share Redemption and Exchange Agreement (Manning & Napier, Inc.), Share Redemption and Exchange Agreement (Manning & Napier, Inc.)
Restricted Securities. The Holder Each Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Each Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 3 contracts
Samples: Note Purchase Agreement (Restoration Robotics, Inc.), Note Purchase Agreement (Soliton, Inc.), Note and Warrant (Odyssey Marine Exploration Inc)
Restricted Securities. The Holder understands that the Securities that Holder is acquiring are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it Holder is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Molecular Imaging Corp, Molecular Imaging Corp
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Loan and Security Agreement (Anda Networks Inc), Anda Networks Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it he is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Forbearance Agreement (GlyEco, Inc.), Stockholder Lock Up Agreement (Trulite Inc)
Restricted Securities. The Holder Each Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder each Lender represents that it is familiar with Rule 144144 under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Subscription Agreement, Note Subscription Agreement (Ellipse Technologies Inc)
Restricted Securities. The Holder It understands that the Securities it is purchasing are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Investor represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: PVF Capital Corp, PVF Capital Corp
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended ("the Securities Act, ") only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Shares and Warrants Purchase Agreement (Commtouch Software LTD), Commtouch Software LTD
Restricted Securities. The Such Holder understands that the Securities are characterized as “"restricted securities” " under the U.S. federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Insider Indebtedness (Intraop Medical Corp), January Bridge Note Conversion and Warrant Purchase Agreement (Intraop Medical Corp)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a any public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it Holder is familiar with Rule 144, as presently in effect, as promulgated by the SEC 144 under the Securities Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 2 contracts
Samples: TriVascular Technologies, Inc., TriVascular Technologies, Inc.
Restricted Securities. The Holder understands that this Warrant and the Securities Shares issuable upon exercise of this Warrant are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstancescircumstances and absent such a circumstance Holder may be required to hold this Warrant and the Shares to be issued upon any exercise hereof indefinitely. In this connection, Holder is aware of the Holder represents that it is familiar with provisions of Rule 144, as presently in effect, as 144 promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: www.sec.gov, Evelo Biosciences, Inc.
Restricted Securities. The Warrant Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Warrant Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Natera, Inc., Natera, Inc.
Restricted Securities. The Such Holder understands that the --------------------- Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Getthere Com, Getthere Com
Restricted Securities. The Holder It understands that the Securities --------------------- are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities Securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connectionrespect, the Holder it represents that it is familiar with Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and otherwise by the Securities Act.
Appears in 2 contracts
Samples: Series a Convertible Preferred Stock Purchase Agreement (Eccs Inc), Series a Convertible Preferred Stock Purchase Agreement (Eccs Inc)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the The Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Oscar Health, Inc., Oscar Health, Inc.
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder Hxxxxx represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Emmaus Life Sciences, Inc., Emmaus Life Sciences, Inc.
Restricted Securities. The Holder understands that the Securities securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Tribune Co, Tribune Co
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Wireless Inc, Wireless Inc
Restricted Securities. The Such Holder understands that the Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Ricky's Board Shop Inc, Pet Express Supply Inc
Restricted Securities. The Holder Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Loan and Security Agreement (Calpian, Inc.), Loan and Security Agreement (Calpian, Inc.)
Restricted Securities. The Holder understands that the Securities it is receiving are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities Securities may be resold without registration under the Act, Securities Act of 1933 only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.. (f)
Appears in 2 contracts
Samples: Iq Biometrix Inc, Iq Biometrix Inc
Restricted Securities. The Holder Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Each Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: Note Purchase Agreement (Odyssey Marine Exploration Inc), Note Purchase Agreement (Odyssey Marine Exploration Inc)
Restricted Securities. The Such Holder understands that the Securities it is being issued are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 2 contracts
Samples: DG FastChannel, Inc, DG FastChannel, Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold reso ld without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Emmaus Life Sciences, Inc.
Restricted Securities. The Holder Warrantholder understands that the Securities are characterized as “restricted securities” under the federal securities laws Act inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations the Act such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder Warrantholder represents that it is familiar with Rule 144, as presently in effect, as 144 promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Note Purchase Agreement (Sunlink Health Systems Inc)
Restricted Securities. The Holder understands that the Securities the Holder is and will be purchasing are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it the Holder is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Entropin Inc
Restricted Securities. The Holder understands and acknowledges that this Warrant and the Securities Shares to be issued upon exercise hereof are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that that, under such laws and applicable regulations regulations, such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connectionaddition, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Restricted Securities. The Holder Such Lender understands that the Securities are characterized as “restricted securities” and “control securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities a Securities may be resold without registration under the Securities Act of 1933, as amended (the “Act”), only in certain limited circumstances. In this connection, the Holder Such Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Note Purchase and Security Agreement (GBS Enterprises Inc)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as since they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder Xxxxxx represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Emmaus Life Sciences, Inc.
Restricted Securities. The Such Holder understands that the Securities it is being issued are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Digital Generation Systems Inc
Restricted Securities. The Holder understands that the Securities this --------------------- Warrant and underlying Common Stock it is purchasing are characterized as “"restricted securities” " under the U.S. federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that without registration under such laws and applicable regulations such securities may and cannot be resold without registration under the Act, only except in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently currently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and on these securities by the Act.
Appears in 1 contract
Samples: Settlement and Mutual Release Agreement (Microelectronic Packaging Inc /Ca/)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws 1933 Act and Rule 144 promulgated thereunder inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws the Act and applicable regulations thereunder such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it the Holder is familiar with Rule 144144 of the U.S. Securities and Exchange Commission, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act. The Holder understands that the Company is under no obligation to register any of the securities sold hereunder.
Appears in 1 contract
Samples: Leadis Technology Inc
Restricted Securities. The Holder Warrantholder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder Warrantholder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Clontech Laboratories Inc
Restricted Securities. The Holder It understands that the Securities are --------------------- characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities Securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connectionrespect, the Holder it represents that it is familiar with Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and otherwise by the Securities Act.
Appears in 1 contract
Samples: Series a Convertible Preferred Stock Purchase Agreement (Eccs Inc)
Restricted Securities. The Holder understands that any of the Securities that it is purchasing or otherwise taking delivery of are or will be characterized as “restricted securities” under the federal securities laws Act inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws the Act and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the The Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Warrant Agreement (Samba TV, Inc.)
Restricted Securities. The Holder Securityholder understands that the Securities Shares are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder Securityholder represents that it is familiar with Commission Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Restricted Securities. The Holder Lender understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the “Act”), only in certain limited circumstances. In this connection, the Holder Lender represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations regulations, such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: MAKO Surgical Corp.
Restricted Securities. The Holder Xxxxxx understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder Xxxxxx represents that it is familiar with Rule 144144 promulgated under the Securities Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Samples: Note Purchase Agreement (Mosaic ImmunoEngineering Inc.)
Restricted Securities. The Holder Securityholder understands that the Securities --------------------- Purchase Shares he is receiving are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it Securityholder is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under Under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Warrant Agreement (Samba TV, Inc.)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the “Act, ”) only in certain limited circumstances, and may only be resold in accordance with all applicable securities laws of any state or any other applicable jurisdiction. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the ActAct and by all applicable state securities laws.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities --------------------- are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities Securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar familiar, with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Buy Com Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act, only in certain limited circumstances. In this connection, the each Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC Commission under the Securities Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Samples: HyreCar Inc.
Restricted Securities. The Such Holder understands that the Securities it is purchasing are characterized as “restricted securities” securities under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Value Holdings Inc
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Note Exchange Agreement (Vanguard Airlines Inc \De\)
Restricted Securities. The Holder understands that this Note and each of the Securities are characterized as “"restricted securities” " under the federal securities laws Securities Act inasmuch as they are being acquired from the Company Borrower in a transaction not involving a public offering and that under such laws the Securities Act and applicable regulations thereunder such securities may not be resold without registration under the Act, only in certain limited circumstancesSecurities Act or an exemption from such registration. In this connection, the The Holder represents that it is familiar with Rule 144144 of the SEC, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.as
Appears in 1 contract
Samples: Futurelink Corp
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Directrix Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the “Act”), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Phenomix CORP
Restricted Securities. The Holder understands that the Securities are may be characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company Discas in a transaction transactions not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), effect and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Discas Inc
Restricted Securities. The Such Holder understands that the --------------------- Securities it is being issued are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Ginsburg Scott K
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch in as much as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Emmaus Life Sciences, Inc.
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Workday, Inc.
Restricted Securities. The Holder understands that the Securities Shares are characterized as “restricted securities” under the U.S. federal securities laws inasmuch as they are being acquired from the Company Group Holdings in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, 1933 Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Share Redemption and Exchange Agreement (Manning & Napier, Inc.)
Restricted Securities. The Holder understands that the --------------------- Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Getthere Com
Restricted Securities. The Holder understands that the Securities it is and shall be purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Protein Polymer Technologies Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws Act inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Such Holder understands that the Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a , transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the such Holder represents that it It is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Employment Agreement (World Information Technology Inc)
Restricted Securities. The Holder understands that the Securities Warrant and the Shares are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the "Act"), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Vista Medical Technologies Inc
Restricted Securities. The Holder understands that the Securities are Shares will be characterized as “restricted securities” under the U.S. federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering private placement under Section 4(a)(2) of the Securities Act and that under such laws and applicable regulations such securities Shares may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities it is purchasing are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the “Securities Act”), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Samples: Restructuring Agreement (Egain Communications Corp)
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Securities Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Samples: Switchback Energy Acquisition Corp
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities Securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Websense Inc
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the U.S. federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Spirit of Texas Bancshares, Inc.
Restricted Securities. The Such Holder understands that the Securities it is purchasing are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the such Holder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.. FORM OF
Appears in 1 contract
Restricted Securities. The Holder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act of 1933, as amended (the “Act”), only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Genome Therapeutics Corp
Restricted Securities. The Holder understands that the Securities it is and shall be purchasing are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144144 promulgated under the Act, as presently now in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Salmedix Inc
Restricted Securities. The Holder understands that the --------------------- Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering offering, and that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with SEC Rule 144144 promulgated under the Act, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Logicvision Inc
Restricted Securities. The Holder Such Stockholder understands that the Securities Warrant and the Buyer Shares he is receiving are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and an that under such laws and applicable regulations such securities may be resold without registration under the Act, Act only in certain limited circumstances. In this connection, the Holder represents that it Stockholder is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Restricted Securities. The Holder understands that this Warrant and the Securities Shares issuable upon exercise of this Warrant are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such federal securities laws and applicable regulations such securities may be resold without registration under the Act, Securities Act only in certain limited circumstances. In this connection, the Holder represents that it is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Sensei Biotherapeutics, Inc.
Restricted Securities. The Holder understands that the Securities are characterized as “"restricted securities” " under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Act, only in certain limited circumstances. In this connection, the Holder represents that it he is familiar with Rule 144, as presently in effect, as promulgated by the SEC under the Act (“"Rule 144”"), and understands the resale limitations imposed thereby and by the Act.
Appears in 1 contract
Samples: Forbearance Agreement (GlyEco, Inc.)
Restricted Securities. The Holder Noteholder understands that the Securities are characterized as “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not involving a public offering and that under such laws and applicable regulations such securities may be resold without registration under the Securities Act, only in certain limited circumstances. In this connection, the Holder Such Noteholder represents that it is familiar with SEC Rule 144, as presently in effect, as promulgated by the SEC under the Act (“Rule 144”), and understands the resale limitations imposed thereby and by the Securities Act.
Appears in 1 contract
Samples: Funding Commitment Agreement (Limitless X Holdings Inc.)