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 Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 prior to receiving such shares.

Appears in 5 contracts

Samples: Standby Equity Distribution Agreement (Advanced Life Sciences Holdings, Inc.), Standby Equity Distribution Agreement (EnerJex Resources, Inc.), Standby Equity Distribution Agreement (EnerJex Resources, Inc.)

AutoNDA by SimpleDocs

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, the Investor agrees that it shall not, and makes no representations or covenants that it will cause its affiliates not toengage in trading in the securities of the Company, other than the Investor will not engage in any short sales Short Sales of the Common Stock provided that Company's common stock at any time during the Agreement. 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 purchased by the Investor pursuant to the Advance Notice prior to receiving taking possession of such sharesShares.

Appears in 5 contracts

Samples: Reserve Equity Financing Agreement (Bloggerwave, Inc.), Reserve Equity Financing Agreement (Biofield Corp \De\), Reserve Equity Financing Agreement (China Wi-Max Communications, 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 Common Stock is listed or traded. Neither the Investor nor its affiliates has an any open short position in the Common Stock, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 prior to receiving such shares.

Appears in 2 contracts

Samples: Standby Equity Distribution Agreement (China Recycling Energy Corp), Standby Equity Distribution Agreement (China Recycling Energy 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 Common Stock is listed or traded. Neither the Investor nor its affiliates Affiliates has an open short position in the Common Stock, and the Investor agrees that it shall not, and that it will cause its affiliates Affiliates not to, engage in any short sales of the Common 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 prior to receiving such sharesShares.

Appears in 2 contracts

Samples: Committed Equity Facility Agreement (Revolutions Medical CORP), Committed Equity Facility Agreement (Bergio International, 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 Common Stock is listed or tradedMarket. Neither the Investor nor its affiliates has an any open short position in the Common StockShares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of with respect to the Common Stock Shares; provided that the Company acknowledges and agrees that 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 prior to receiving such sharesShares, or (ii) other Common Shares sold by the Company to Investor pursuant to this Agreement and which the Company has continuously held as a long position.

Appears in 2 contracts

Samples: Standby Equity Purchase Agreement (Scilex Holding Co), Standby Equity Purchase Agreement (Scilex Holding Company/De)

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 Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock, the . The Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 prior to receiving such shares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Omagine, 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 Common Stock is listed or tradedMarket. Neither the Investor nor its affiliates has an any open short position in the Common StockShares, and the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of with respect to the Common Stock Shares; provided that the Company acknowledges and agrees that upon receipt of an Advance Notice or Additional Advance Notice the Investor has the right to sell (i) the shares Shares to be issued to the Investor pursuant to the such Advance Notice or Additional Advance Notice prior to receiving such sharesShares, or (ii) other Common Shares sold by the Company 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 (Scilex Holding Co)

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 Common Stock is listed or traded. Neither the Investor nor its affiliates any affiliate of the Investor has an open short position in the Common Stock, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 prior to receiving such shares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Digital Angel Corp)

AutoNDA by SimpleDocs

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 Common Stock is listed or traded. Neither the The Investor nor its affiliates has an open short position in the Common Stock, the Investor agrees that it shall not, and makes no representations or covenants that it will cause its affiliates not toengage in trading in the securities of the Company, other than the Investor will not engage in any short sales Short Sales of the Common Stock provided that at any time during the Agreement. 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 purchased by the Investor pursuant to the Advance Notice prior to receiving taking possession of such shares.

Appears in 1 contract

Samples: Reserve Equity Financing Agreement (Global Earth Energy, Inc.)

Trading Activities. The Investor’s '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 Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock, the . The Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 prior to receiving such shares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Omagine, 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 Common Stock is listed or traded. Neither the Investor nor its affiliates Affiliates has an open short position in the Common Stock, the Investor agrees that it shall not, and that it will cause its affiliates Affiliates not to, engage in any short sales of 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 Shares to be issued to the Investor pursuant to the Advance Notice prior to receiving such sharesShares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Freeseas 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 Common Stock is listed or traded. Neither the Investor nor its affiliates Affiliates has an open short position in the Common Stock, 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 the Common 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 prior to receiving such sharesShares, subject to the limitations set forth in this Section.

Appears in 1 contract

Samples: Committed Equity Facility Agreement (Artec Global Media, 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 Common Stock is listed or traded. Neither the Investor nor its affiliates has an open short position in the Common Stock, the Investor agrees that it shall not, and that it will cause its affiliates not to, engage in any short sales of 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 purchased by the Investor pursuant to the Advance Notice prior to receiving taking possession of such sharesShares.

Appears in 1 contract

Samples: Standby Equity Distribution Agreement (Lotus Pharmaceuticals, Inc.)

Draft better contracts in just 5 minutes Get the weekly Law Insider newsletter packed with expert videos, webinars, ebooks, and more!