Common use of Rule 144 Compliance Clause in Contracts

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the Warrant or all shares of Common Stock issued on exercise of the Warrant, or (y) the expiration or earlier termination of the Warrant if its Warrant has not been exercised in full or in part on such date, timely file all reports required under the 1934 Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one (1) business day after receipt of such request, a written statement confirming the Company's compliance with the filing and other requirements of such Rule.

Appears in 4 contracts

Samples: Warrant Agreement (STRATA Skin Sciences, Inc.), Warrant Agreement (STRATA Skin Sciences, Inc.), Warrant Agreement (STRATA Skin Sciences, Inc.)

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Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 3 contracts

Samples: Loan and Security Agreement (Axsome Therapeutics, Inc.), Axsome Therapeutics, Inc., Warrant Agreement (Immune Pharmaceuticals Inc)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions reasonably necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time(“Rule 144”), provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such RuleRule 144.

Appears in 2 contracts

Samples: Warrant Agreement (Phathom Pharmaceuticals, Inc.), Warrant Agreement (Phathom Pharmaceuticals, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the Warrant or all shares of Common Stock issued on exercise of the Warrant, or (y) the expiration or earlier termination of the Warrant if its Warrant has not been exercised in full or in part on such date, timely file all reports required under the 1934 Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one (1) business day after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 2 contracts

Samples: Warrant Agreement (STRATA Skin Sciences, Inc.), Warrant Agreement (STRATA Skin Sciences, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of this Agreement if the Warrant if its Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement Warrant in compliance with Rule 144, then, upon the Warrantholder's written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the status of the Company's compliance with the filing and other requirements of such RuleRule 144.

Appears in 2 contracts

Samples: Warrant Agreement (Cytrx Corp), Warrant Agreement (Cytrx Corp)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Securities Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144144 and subject to volume limitations and holding period restrictions under applicable federal and state securities laws, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one ten (110) business day days after receipt of such request, a written statement confirming indicating the status of the Company's ’s compliance with the filing and other requirements as set forth in paragraph (c)(1) of such RuleRule 144.

Appears in 2 contracts

Samples: Warrant Agreement (Genocea Biosciences, Inc.), Warrant Agreement (Genocea Biosciences, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time(“Rule 144”), provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such RuleRule 144.

Appears in 1 contract

Samples: Warrant Agreement (Sight Sciences, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time144, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 1 contract

Samples: Warrant Agreement (Audentes Therapeutics, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the status of the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 1 contract

Samples: Warrant Agreement (Agile Therapeutics Inc)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of this Agreement if the Warrant if its Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the status of the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 1 contract

Samples: Warrant Agreement (Pulmatrix, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the Warrant, or this Warrant and (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time(“Rule 144”), provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such RuleRule 144.

Appears in 1 contract

Samples: Warrant Agreement (NeueHealth, Inc.)

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Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the Warrant, this Warrant or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 1 contract

Samples: Falcone Option Agreement (HC2 Holdings, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Securities Act as amended and in effect from time to time, ; provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement Warrant in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one ten (110) business day days after receipt of such request, a written statement confirming the status of the Company's ’s compliance with the filing and other requirements set forth in paragraph (c)(1) of such RuleRule 144.

Appears in 1 contract

Samples: Cerulean Pharma Inc.

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (x) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (y) the expiration or earlier termination of this Agreement if the Warrant if its Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement Warrant in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the status of the Company's ’s compliance with the filing and other requirements of such RuleRule 144.

Appears in 1 contract

Samples: Warrant Agreement (Mast Therapeutics, Inc.)

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the Warrant, this Warrant or (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time(“Rule 144”), provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such RuleRule 144.

Appears in 1 contract

Samples: Sorrento Therapeutics, Inc.

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the Warrant, this Warrant or (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time144, provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.

Appears in 1 contract

Samples: Mattersight Corp

Rule 144 Compliance. The Company shall, at all times prior to the earlier to occur of (xi) the date of sale or other disposition by the Warrantholder of the this Warrant or all shares of Common Stock issued on exercise of the this Warrant, or (yii) the expiration or earlier termination of the this Warrant if its the Warrant has not been exercised in full or in part on such date, use all commercially reasonable efforts to timely file all reports required under the 1934 Exchange Act and otherwise timely take all actions necessary to permit the Warrantholder to sell or otherwise dispose of the this Warrant and the shares of Common Stock issued on exercise hereof pursuant to Rule 144 promulgated under the Act as amended and in effect from time to time(“Rule 144”), provided that the foregoing shall not apply in the event of a Merger Event following which the successor or surviving entity is not subject to the reporting requirements of the 1934 Exchange Act. If the Warrantholder proposes to sell Common Stock issuable upon the exercise of this Agreement in compliance with Rule 144, then, upon the Warrantholder's ’s written request to the Company, the Company shall as soon as a reason ably practicable furnish to the Warrantholder, and in any event within one five (15) business day days after receipt of such request, a written statement confirming the Company's ’s compliance with the filing and other requirements of such Rule.Rule 144. WEST\297272241.4

Appears in 1 contract

Samples: Warrant Agreement (Lucira Health, Inc.)

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