Common use of Trading Activities Clause in Contracts

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 37 contracts

Samples: Securities Purchase Agreement (First Liberty Power Corp), Securities Purchase Agreement (Frozen Food Gift Group, Inc), Securities Purchase Agreement (Cord Blood America, Inc.)

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Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 27 contracts

Samples: Standby Equity Distribution Agreement (Jeantex Group, Inc.), Investment Agreement (Edgar Filingnet Inc), Securities Purchase Agreement (Genesis Electronics Group, Inc.)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 14 contracts

Samples: Standby Equity Distribution Agreement (Americana Publishing Inc), Standby Equity Distribution Agreement (Headliners Entertainment Group, Inc.), Standby Equity Distribution Agreement (Trust Licensing, Inc., F/K/a New Mountaintop CORP)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates Affiliates has an open short position in the Common Stock of the CompanyStock, and the Investor agrees that it shall not, and that it will cause its affiliates Affiliates not to, to engage in any short sales of or hedging transactions with respect to the Common Stock, Stock during the Commitment Period; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares Shares to be issued to the Investor pursuant to the Advance Notice during prior to receiving such Shares, subject to the applicable Pricing Periodlimitations set forth in this Section.

Appears in 9 contracts

Samples: Committed Equity Facility Agreement (Growlife, Inc.), Committed Equity Facility Agreement (Millennium Healthcare Inc.), Committed Equity Facility Agreement (Sunpeaks Ventures, Inc.)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided PROVIDED that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 8 contracts

Samples: Standby Equity Distribution Agreement (SpeechSwitch, Inc.), Standby Equity Distribution Agreement (Deep Field Technologies, Inc.), Standby Equity Distribution Agreement (iVoice Technology, Inc.)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock Ordinary Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is Ordinary Shares are listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the CompanyOrdinary Shares, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, Ordinary Shares provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Periodprior to receiving such shares.

Appears in 4 contracts

Samples: Standby Equity Distribution Agreement (Bos Better Online Solutions LTD), Standby Equity Distribution Agreement (Bos Better Online Solutions LTD), Standby Equity Distribution Agreement (Bos Better Online Solutions LTD)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 4 contracts

Samples: Standby Equity Distribution Agreement, Standby Equity Distribution Agreement (Lithium Technology Corp), Standby Equity Distribution Agreement (Aims Worldwide Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 2 contracts

Samples: Standby Equity Distribution Agreement (Power of the Dream Ventures Inc), Standby Equity Distribution Agreement (Power of the Dream Ventures Inc)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided PROVIDED that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 2 contracts

Samples: Standby Equity Distribution Agreement (Wien Group Inc), Standby Equity Distribution Agreement (City Network Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Acacia Research Corp)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period. The Investor further represents and warrants that it and its affiliates have not engaged in any trading of the Company's common stock on the Principal Market prior to the execution of this Agreement.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Neogenomics Inc)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice Notice, to the extent legally permissible, the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Directview Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, Stock provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Periodprior to receiving such shares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Jag Media Holdings Inc)

Trading Activities. The Investor’s 's trading activities with ------------------- respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, and the Investor agrees that it shall will not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Falcon Natural Gas Corp)

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Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided provided, however, that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Periodic Equity Investment Agreement (Cereplast Inc)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, ; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to shall not sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Visiongateway Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, Stock provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Wherify Wireless Inc)

Trading Activities. The Investor’s 's trading activities with ------------------ respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, and the Investor agrees that it shall will not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Intrepid Technology & Resource Inc)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, Company and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Sonoran Energy Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock Shares shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or tradedMarket. Neither the Investor nor its affiliates has an any open short position in the Common Stock of the CompanyShares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, Shares; provided that the Company acknowledges and agrees that (a) the Investor may engage in the trading of options with respect to the Common Shares, (b) upon receipt of an Advance Notice the Investor has the right to sell (i) the shares Shares to be issued to the Investor pursuant to the Advance Notice during prior to receiving such Shares, or (ii) other Common Shares sold by the applicable Pricing PeriodCompany to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 1 contract

Samples: Standby Equity Purchase Agreement (KULR Technology Group, Inc.)

Trading Activities. The Investor’s 's trading activities with respect to the Company’s 's Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s 's Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the Company, and the Investor agrees that it shall will not, and that it will cause its affiliates not to, engage in any short sales of or hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice the Investor has the right is permitted to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Period.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Nuwave Technologies Inc)

Trading Activities. The Investor’s trading activities with respect to the Company’s Common Stock shall be in compliance with all applicable federal and state securities laws, rules and regulations and the rules and regulations of the Principal Market on which the Company’s Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock of the CompanyStock, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of or any other hedging transactions with respect to the Common Stock, provided that the Company acknowledges and agrees that upon receipt of an Advance Notice Notice, the Investor has the right to sell the shares to be issued to the Investor pursuant to the Advance Notice during the applicable Pricing Periodprior to receiving such shares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Entremed Inc)

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