Securities Laws Matters. (a) Neither the Company nor the Trust, nor any of their "Affiliates" (as defined in Rule 501(b) of Regulation D under the Securities Act ("Regulation D")), nor any person acting on any of their behalf (except for the Introducing Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 4 contracts
Samples: Purchase Agreement (Temecula Valley Bancorp Inc), Purchase Agreement (First Litchfield Financial Corp), Purchase Agreement (First Litchfield Financial Corp)
Securities Laws Matters. (ai) Neither the Company nor the Trust, nor any of their "“Affiliates" ” (as defined in Rule 501(b) of Regulation D under the Securities Act ("“Regulation D"”)), nor any person acting on any of their behalf (except for the Introducing Placement Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 4 contracts
Samples: Placement Agreement (Horizon Bancorp /In/), Placement Agreement (Southcoast Financial Corp), Preferred Securities Subscription Agreement (Greer Bancshares Inc)
Securities Laws Matters. (a) Neither None of the Company nor the TrustExchangors, nor any of their "“Affiliates" ” (as defined in Rule 501(b) of Regulation D under the Securities Act ("“Regulation D")”), nor any person acting on any of their behalf (except for the Introducing AgentHolders, as to which neither the Company nor the Trust make any representationno representation or warranty is made) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Securities Laws Matters. (ai) Neither the Company nor the Trust, nor any of their "“Affiliates" ” (as defined in Rule 501(b) of Regulation D under the Securities Act ("“Regulation D"”)), nor any person acting on any of their behalf (except for the Introducing Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Securities Laws Matters. (ai) Neither the Guarantor, the Company nor the Trust, nor any of their "Affiliates" (as defined in Rule 501(b) of Regulation D under the Securities Act ("Regulation D")), nor any person acting on any of their behalf (except for the Introducing AgentPurchasers, as to which neither the Guarantor, the Company nor and the Trust make any no representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Samples: Purchase Agreement (Windrose Medical Properties Trust)
Securities Laws Matters. (a) Neither the Company nor the Trust, nor any of their "“Affiliates" ” (as defined in Rule 501(b) of Regulation D under the Securities Act ("“Regulation D"”)), nor any person acting on any of their behalf (except for the Introducing Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Samples: Purchase Agreement (BNC Bancorp)
Securities Laws Matters. (ai) Neither the Company nor the Trust, nor any of their "Affiliates" (as defined in Rule 501(b501 (b) of Regulation D under the Securities Act ("Regulation D")), nor any person acting on any of their behalf (except for the Introducing Placement Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Securities Laws Matters. (a) Neither None of the Company nor the TrustExchangors, nor any of their "“Affiliates" ” (as defined in Rule 501(b) of Regulation D under the Securities Act ("“Regulation D"”)), nor any person acting on any of their behalf (except for the Introducing AgentHolders, as to which neither the Company nor the Trust make any representationno representation or warranty is made) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
Securities Laws Matters. (ai) Neither the Company nor the Trust, nor any of their "Affiliates" (as defined in Rule 501(b) of Regulation D under the Securities Act ("Regulation D")), nor any person acting on any of their behalf (except for the Introducing Placement Agent, as to which neither the Company nor the Trust make any representation) has, directly or indirectly, made offers or sales of any security, or solicited offers to buy any security, under circumstances that would require the registration under the Securities Act of any of the Securities.
Appears in 1 contract
