Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 581 contracts
Samples: Common Stock (Aclarion, Inc.), Sales Agreement (Sagimet Biosciences Inc.), Common Stock (Oragenics Inc)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 68 contracts
Samples: Sales Agreement (CorMedix Inc.), Ra Medical Systems, Inc., Forte Biosciences, Inc.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 27 contracts
Samples: Market Issuance Sales Agreement (Xoma LTD /De/), Sales Agreement (Magnum Hunter Resources Corp), Sales Agreement (Magnum Hunter Resources Corp)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 23 contracts
Samples: Securities Purchase Agreement (Immucell Corp /De/), Securities Purchase Agreement (Tellurian Inc. /De/), Underwriting Agreement (CareCloud, Inc.)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 20 contracts
Samples: IDI, Inc., Rait Financial Trust (RAIT Financial Trust), Sales Agreement (Chelsea Therapeutics International, Ltd.)
Status under the Securities Act. The Company was not and is will not be at any Settlement Date an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesAct.
Appears in 13 contracts
Samples: Sales Agreement (Liquid Media Group Ltd.), Sales Agreement (Correvio Pharma Corp.), Market Issuance Sales Agreement (Aeterna Zentaris Inc.)
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesUnits.
Appears in 10 contracts
Samples: Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Draganfly Inc.), Underwriting Agreement (Vista Gold Corp)
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Offered Shares.
Appears in 9 contracts
Samples: Underwriting Agreement (Western Copper & Gold Corp), Underwriting Agreement (Denison Mines Corp.), Underwriting Agreement (Western Copper & Gold Corp)
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 9 contracts
Samples: Sales Agreement (Caledonia Mining Corp PLC), Sales Agreement (Vivos Therapeutics, Inc.), Sales Agreement (Energy Fuels Inc)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under of the Securities Act Regulations at the times specified in Rules 164 and 433 under of the Securities Act Regulations in connection with the offering of the Placement Shares.
Appears in 8 contracts
Samples: Stellus Capital Investment Corp, Stellus Capital Investment Corp, MONROE CAPITAL Corp
Status under the Securities Act. The Company was not and is not an "ineligible issuer issuer" as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Offered Shares.
Appears in 6 contracts
Samples: Underwriting Agreement (Taseko Mines LTD), Underwriting Agreement (Northern Dynasty Minerals LTD), Underwriting Agreement (Northern Dynasty Minerals LTD)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesADSs.
Appears in 5 contracts
Samples: Alterity Therapeutics LTD, Sequans Communications, Prana Biotechnology LTD
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 5 contracts
Samples: Sales Agreement (Chemomab Therapeutics Ltd.), Sales Agreement (Chemomab Therapeutics Ltd.), Piedmont Lithium Inc.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesStock.
Appears in 4 contracts
Samples: Underwriting Agreement (Aspen Aerogels Inc), Underwriting Agreement (Aerie Pharmaceuticals Inc), Underwriting Agreement (Aerie Pharmaceuticals Inc)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of any of the Placement Shares.
Appears in 4 contracts
Samples: Soligenix, Inc., Sales Agreement (Applied Digital Corp.), Applied Digital Corp.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesSecurities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Gorilla Technology Group Inc.), Underwriting Agreement (Novus Therapeutics, Inc.), Placement Agency Agreement (Compugen LTD)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Offered Shares.
Appears in 3 contracts
Samples: Underwriting Agreement (Ocugen, Inc.), Underwriting Agreement (Cryoport, Inc.), Underwriting Agreement (Cellular Biomedicine Group, Inc.)
Status under the Securities Act. The Company was not and is not an "ineligible issuer issuer" as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 2 contracts
Samples: Sales Agreement (Energy Fuels Inc), Sales Agreement (Energy Fuels Inc)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in under Rule 405 under the Securities Act Act, or otherwise satisfies the eligibility requirements set forth under and at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 2 contracts
Samples: Sales Agreement (GMX Resources Inc), Evolution Petroleum Corp
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 2 contracts
Samples: Underwriting Agreement (Forte Biosciences, Inc.), Meta Materials Inc.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act Regulations at the times specified in Rules 164 and 433 under the Securities Act Regulations in connection with the offering of the Placement Shares.
Appears in 2 contracts
Samples: Surface Oncology, Inc., Surface Oncology, Inc.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesADSs.
Appears in 2 contracts
Samples: Sales Agreement (Gracell Biotechnologies Inc.), Sales Agreement (BICYCLE THERAPEUTICS PLC)
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesADSs.
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.. 15 DM3\4762407.4
Appears in 1 contract
Samples: Parkervision Inc
Status under the Securities Act. The Company was not and is not an "ineligible issuer issuer" as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Samples: Midway Gold Corp
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Samples: Oxigene Inc
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.;
Appears in 1 contract
Samples: Perpetua Resources Corp.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act Regulations in connection with the offering of the Placement Shares.
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an ineligible issuer (as defined in Rule 405 under the Securities Act Act) at the times specified in Rules 164 and 433 under the Securities Act such Rule in connection with the offering of the Placement Shares.
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares. The Company agrees to notify the Agent promptly upon the Company becoming an “ineligible issuer.”
Appears in 1 contract
Samples: Sales Agreement (SITIME Corp)
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Perpetual Preferred Shares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Gorilla Technology Group Inc.)
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement SharesSecurities.
Appears in 1 contract
Samples: Shale Hunter, LLC
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares. The Company is a “foreign private issuer” within the meaning of Rule 405 under the Act.
Appears in 1 contract
Samples: Sales Agreement (Nyxoah SA)
Status under the Securities Act. The Company was not not, and is not not, an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Samples: Omeros Corp
Status under the Securities Act. The Company was not and is not an “ineligible issuer issuer” as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Offered Shares.. (g)
Appears in 1 contract
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.. 3666640.1
Appears in 1 contract
Samples: IZEA Worldwide, Inc.
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Shares.
Appears in 1 contract
Samples: Evaxion Biotech a/S
Status under the Securities Act. The Company was not and is not an ineligible issuer as defined in Rule 405 under the Securities Act at the times specified in Rules 164 and 433 under the Securities Act in connection with the offering of the Placement Preference Shares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Gorilla Technology Group Inc.)
