Trading Matters. Our common stock is quoted on the OTCQB Venture Market operated by OTC Markets Group, Inc. (“OTCQB”) under the ticker symbol “SNBP.” The Company has not taken any action designed to, or which to its knowledge is likely to have the effect of, preclude, or otherwise jeopardize, the eligibility of the Common Stock for quotation on the over-the-counter markets. The Company does not have any reasonable basis to believe that the Common Stock is the subject of removal from the OTCQB Venture Market or suspension of quotation or eligibility for quotation on the over-the-counter markets (or hearings or any similar process related thereto).
Trading Matters. The Parent Shares are quoted on the Eligible Market. There is no action or proceeding pending or, to Parent’s Knowledge, threatened against Parent by any securities regulatory authority with respect to any intention by such entities to prohibit or terminate the quotation of any such securities of Parent on the Eligible Market.
Trading Matters. At the date hereof (i) the Parent Common Stock is eligible for quotation on the over-the-counter market, (ii) Parent has and shall have performed or satisfied all of its undertakings to, and of its obligations and requirements with, the SEC and FINRA, (iii) Parent has not taken, and shall not have taken, any action that would preclude, or otherwise jeopardize, the eligibility of the Parent Common Stock for quotation on the over-the-counter markets and (iv) Parent does not have any reasonable basis to believe that the Parent Common Stock is the subject of delisting or suspension of quotation or eligibility for quotation on the over-the-counter markets (or hearings or any similar process related thereto).
Trading Matters. The Parent Common Stock is quoted on the OTCBB. There is no action or proceeding pending or, to Parent’s knowledge, threatened against Parent by Nasdaq Stock Market, Inc. or NASD, Inc. with respect to any intention by such entities to prohibit or terminate the quotation of any such securities on the OTCBB.
Trading Matters. 11.1 The Banking Company does not carry on any business save and except the Business. The Banking Company is not an insurance agent and does not act as an insurance agent or hold itself out to be an insurance agent. The Banking Company does not draw income in the nature of commission from any insurance company and is not required to be registered with the Insurance Regulatory and Development Authority as a corporate agent.
11.2 Except for the Definitive Agreements, there is no Contract or specific direction from a Governmental Authority or any relevant foreign equivalent to the Banking Company or Founders that has the effect of or may reasonably be expected to have the effect of prohibiting or impairing the Business, any acquisition of property or assets by the Banking Company or otherwise limiting the freedom of the Banking Company to engage in any line of business or to compete with any Person.
11.3 The Banking Company is not, nor has agreed to become, a party to or member of a joint venture, consortium, partnership or other unincorporated association.
11.4 Since the Accounts Date, the Banking Company has not suffered any damage, destruction or loss (whether or not covered by insurance), or any strike or other employment-related problem, or any materially adverse change in relations with, or any loss of, a supplier.
11.5 No authorities (express or implied), including any power of attorney given by the Banking Company, by which any Person may enter into a Contract or commitment to do anything on behalf of the Banking Company are subsisting.
11.6 The profits and financial position of the Banking Company during the past 3 (Three) years have not been affected by, a Contract or arrangement which is not on an arm's length basis.
11.7 The Banking Company is not, nor has agreed to become, a party to or member of a joint venture, consortium, partnership or other unincorporated association. Except for the 2014 Subscription Agreement, 2014 Shareholders Agreement, 2013 Subscription Agreement, 2013 Shareholders Agreement, 2012 Subscription Agreement, the 2012 Shareholders Agreement, the CVC Investment Agreement, the 2016 Subscription Agreement, Series F Shareholders’ Agreement, the Shareholders’ Agreement, 2017 Subscription Agreement, ICICI SSAs and the First HV SSA, the Banking Company does not have any profit sharing bonds or otherwise attributed rights to any person to share in past, present or future income or profits, reserves or liquidation surpluses.
Trading Matters. At the date hereof and at the date of each Closing:
(a) the Common Stock is and shall be traded and quoted in the over-the-counter market;
(b) the Company has and shall have performed or satisfied all of its undertakings to, and of its obligations and requirements with, the SEC;
(c) the Company has not, and shall not have taken any action that would preclude, or otherwise jeopardize, the inclusion of the Common Stock for quotation on the OTC Bulletin Board.
Trading Matters. 5.1 The business of the Company has been continued in the ordinary and normal course.
5.2 The Company is not, nor has agreed to become, a member of any joint venture, consortium, partnership or other unincorporated association.
5.3 The Company is not engaged in any litigation or arbitration proceedings, as claimant or defendant; there are no such proceedings pending or threatened, either by or against the Company.
5.4 There is no dispute with any revenue or other official department in the United Kingdom or elsewhere, in relation to the affairs of the Company, and there are no facts which may give rise to any such dispute.
Trading Matters. At the date hereof (i) Shares are traded and quoted in the OTC bulletin board market (the “OTCBB”) and the OTCQB market, (ii) the Company has and shall have performed or satisfied all of its undertakings to, and of its obligations and requirements with, the SEC, (iii) the Company has not taken, and shall not have taken, any action that would preclude, or otherwise jeopardize, the inclusion of Shares for quotation on the OTCBB and the OTCQB market and (iv) the Company does not have any reasonable basis to believe that the Shares are subject of delisting (or hearings or any similar process related thereto).
Trading Matters. (i) If required, the OTC Bulletin Board shall, at or prior to the Effective Time, have approved the inclusion of the VNI Common Stock to be issued in the Merger.
(ii) The VNI Common Stock shall be included for quotation on the OTC Bulletin Board. 75
Trading Matters. The Parent Common Stock is quoted on the OTCBB under the symbol “CLLO.OB,” and Parent is in compliance in all material respects with all rules and regulations of the OTCBB applicable to it and the Parent Common Stock. There is no action or Proceeding pending or, to Parent’s Knowledge, threatened against Parent by Nasdaq Stock Market, Inc. or NASD, Inc. with respect to any intention by such entities to prohibit or terminate the quotation of any such securities on the OTCBB.
