Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 14 contracts
Samples: Securities Purchase Agreement (Rallybio Corp), Securities Purchase Agreement (Rallybio Corp), Form of Subscription Agreement (E-Waste Corp.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 13 contracts
Samples: Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsPreviously Disclosed, none of the officers or directors of the Company or its subsidiaries and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or its subsidiaries is presently a party to any transaction with the Company or any Subsidiary subsidiary (other than for services as employees, officers and directors), that would be directors required to be disclosed pursuant to under Item 404 of Regulation S-K promulgated under the Securities Exchange Act).
Appears in 13 contracts
Samples: Securities Purchase Agreement (Amyris, Inc.), Exchange Agreement (Amyris, Inc.), Securities Purchase Agreement (Total S.A.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 13 contracts
Samples: Securities Purchase Agreement (NeuroBo Pharmaceuticals, Inc.), Securities Purchase Agreement (DermTech, Inc.), Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Q BioMed Inc.), Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Q BioMed Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a transaction contemplated by the Company (other than for services as employees, officers and directors), ) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as set forth in the SEC Reports.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Avinger Inc), Securities Purchase Agreement (T2 Biosystems, Inc.), Securities Purchase Agreement (Avinger Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Ignyta, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act that has not otherwise been appropriately disclosed in accordance with the Exchange Act.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Biofrontera Inc.), Securities Purchase Agreement (SAB Biotherapeutics, Inc.), Securities Purchase Agreement (Cellectar Biosciences, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a transaction presently contemplated by the Company (other than for services as employees, officers and directors), ) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Corindus Vascular Robotics, Inc.), Securities Purchase Agreement (Hudson Executive Capital LP), Securities Purchase Agreement (Corindus Vascular Robotics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Mri Interventions, Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.), Securities Purchase Agreement (Wheeler Real Estate Investment Trust, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Sonic Innovations Inc), Securities Purchase Agreement (Jones Soda Co), Securities Purchase Agreement (International Fight League, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement, Securities Purchase Agreement (OncoMed Pharmaceuticals Inc), Securities Purchase Agreement (Tengion Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and except with respect to the transactions contemplated hereunder, none of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Note Purchase Agreement (Pure Bioscience, Inc.), Note Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase Agreement (Pure Bioscience, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (David P. Perry 2015 Trust), Securities Purchase Agreement (Better Therapeutics, Inc.), Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or on Schedule 3.1(t) and other than the grant of stock options or other equity awards, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Wesbanco Inc), Securities Purchase Agreement (Firstsun Capital Bancorp), Upfront Securities Purchase Agreement (Firstsun Capital Bancorp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that which would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Fennec Pharmaceuticals Inc.), Securities Purchase Agreement (Mri Interventions, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directorsdirectors or loans made in compliance with Federal Reserve Regulation O in the ordinary course of the Bank’s business), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Blue Ridge Bankshares, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Significant Subsidiary or to a presently contemplated transaction (other than for ordinary course services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Vyyo Inc), Securities Purchase Agreement (Vyyo Inc), Securities Purchase Agreement (Vyyo Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company andDocuments, to the Company’s Knowledgeknowledge, none of the employees executive officers or directors of the Company is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Clearsign Combustion Corp), Stock Purchase Agreement, Stock Purchase Agreement (T2 Biosystems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and except as contemplated by the Transaction Documents, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Ribbon Communications Inc.), Securities Purchase Agreement (Ribbon Communications Inc.), Form of Securities Purchase Agreement (Ribbon Communications Inc.)
Transactions With Affiliates and Employees. Except as set forth in There are no transactions between the SEC Reports, none of Company or any Subsidiary on the officers one hand and any officer or directors director of the Company on the other and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), in each case, that would be are required to be disclosed described in the SEC Reports pursuant to Item 404 of Regulation S-K promulgated under the Securities Actand are not so described in accordance therewith.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Infocrossing Inc), Securities Purchase Agreement (Infocrossing Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsDisclosure Materials, none of the officers officers, directors or directors Affiliates of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities ActAct for any reporting period.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Strongbridge Biopharma PLC), Securities Purchase Agreement (Strongbridge Biopharma PLC)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Form of Securities Purchase Agreement (Wonder Auto Technology, Inc), Securities Purchase Agreement (Titan Pharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K B promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (HydroGen CORP), Securities Purchase Agreement (HydroGen CORP)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company andCompany, to the Company’s Knowledgeor any of their respective Affiliates or family members, none of the employees of the Company is presently a party to any material transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), directors to the Company) that would be is required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under in the Securities ActSEC Reports and is not so disclosed.
Appears in 2 contracts
Samples: Agreement (JR Resources Corp.), Agreement (Dakota Territory Resource Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, executive officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.K.
Appears in 2 contracts
Samples: Subsidiary Guarantee (Baxano Surgical, Inc.), Securities Purchase Agreement (Baxano Surgical, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Clearant Inc), Neah Power (Neah Power Systems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or Schedule 3.1(r), none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Unicycive Therapeutics, Inc.), Securities Purchase Agreement (Unicycive Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in Schedule 3.1(w) or the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, or its subsidiaries and none of the employees of the Company or its subsidiaries is presently a party to any transaction with the Company or any Subsidiary subsidiary or Affiliate thereof (other than for services as employees, officers and directors), that would be directors required to be disclosed pursuant to under Item 404 of Regulation S-K promulgated under the Securities Exchange Act).
Appears in 2 contracts
Samples: Securities Purchase Agreement (GRANDPARENTS.COM, Inc.), Securities Purchase Agreement (GRANDPARENTS.COM, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item Rule 404 of Regulation S-K promulgated under the Securities Act that has not otherwise been appropriately disclosed in accordance with the Exchange Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Vigil Neuroscience, Inc.), Securities Purchase Agreement (Cidara Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers officers, and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Riverview Financial Corp), Stock Purchase Agreement (HCSB Financial Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 including any contract, agreement or other arrangement providing for the furnishing of Regulation S-K promulgated under the Securities Actservices.
Appears in 2 contracts
Samples: Subscription Agreement (Players Network), Subscription Agreement (Players Network)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a transaction presently contemplated by the Company (other than for services as employees, officers and directors), ) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 2 contracts
Samples: Subscription Agreement (Miramar Labs, Inc.), Subscription Agreement (Miramar Labs, Inc.)
Transactions With Affiliates and Employees. Except as set forth or incorporated by reference in the Company’s SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for ordinary course services as employees, officers and or directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Zosano Pharma Corp), Securities Purchase Agreement (Zosano Pharma Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or on Schedule 3.1(r), none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Coya Therapeutics, Inc.), Securities Purchase Agreement (Coya Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Subscription Agreement (Blue Star Foods Corp.), Purchase Agreement (WaferGen Bio-Systems, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsFilings made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (China Lodging Group, LTD), Securities Purchase Agreement (China Lodging Group, LTD)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a transaction contemplated by the Company (other than for services as employees, officers and directors), ) that would be required to be disclosed by the Company pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the Company’s SEC Filings.
Appears in 2 contracts
Samples: Subscription Agreement (Enumeral Biomedical Holdings, Inc.), Subscription Agreement (Enumeral Biomedical Holdings, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports and other than the grant of stock options or other equity awards, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 2 contracts
Samples: Securities Purchase Agreement (SCBT Financial Corp), Securities Purchase Agreement (Renasant Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers officers, directors or directors security holders of the Company (or any Affiliate of any such officer, director or security holder) and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), to a presently contemplated transaction that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 1 contract
Samples: Securities Purchase Agreement (COMMITTED CAPITAL ACQUISITION Corp)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or its Subsidiaries and, to the Company’s Knowledge, none of the employees of the Company or its Subsidiaries is presently a party to any transaction with the Company or any Subsidiary (other than for ordinary course services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Anthera Pharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item Section 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction (or to a presently contemplated transaction) with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (ImmunoCellular Therapeutics, Ltd.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers officers, directors, employees or directors of the Company and, to the Company’s Knowledge, none of the employees Affiliates of the Company is presently a party to any contract, arrangement or transaction with the Company or any Subsidiary of its Subsidiaries or to a presently contemplated contract, arrangement or transaction (other than for services as employees, officers and directors), in any such case that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the Company’s SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Loan Documents or set forth in the SEC Reports.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.. (s)
Appears in 1 contract
Samples: Execution Version Securities Purchase Agreement (Pieris Pharmaceuticals, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports or as disclosed in Schedule 3.1(r), none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Stock and Warrant Purchase Agreement (Stereotaxis, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers officers, directors, employees or directors of the Company and, to the Company’s Knowledge, none of the employees Affiliates of the Company is presently a party to any contract, arrangement or transaction with the Company or any Subsidiary of its Subsidiaries or to a presently contemplated contract, arrangement or transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsDocuments, none of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Penwest Pharmaceuticals Co)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any the Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary Affiliate of the Company (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed as of the date hereof in an SEC Report pursuant to the requirements of Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Regenerx Biopharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Backstop Securities Agreement (Rehabcare Group Inc)
Transactions With Affiliates and Employees. Except for the Private Placement and as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently or was a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed as of the date hereof in an SEC Report pursuant to the requirements of Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Sumtotal Systems Inc)
Transactions With Affiliates and Employees. Except as set forth disclosed in the SEC ReportsDocuments, none of the officers or directors of the Company or its subsidiaries and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or its subsidiaries is presently a party to any transaction with the Company or any Subsidiary subsidiary (other than for services as employees, officers and directors), that would be directors required to be disclosed pursuant to under Item 404 of Regulation S-K promulgated under the Securities Exchange Act).
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, executive officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Athersys, Inc / New)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, and none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Celator Pharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Avadel Pharmaceuticals PLC)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and its Subsidiaries and, to the Company’s Knowledge, none of the employees of the Company and its Subsidiaries, is presently a party to any transaction with the Company or any Subsidiary of its Subsidiaries or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act, except as contemplated by the Transaction Documents or set forth in the SEC Reports.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed in the SEC Reports pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Gemphire Therapeutics Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
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Transactions With Affiliates and Employees. Except for the private placement and as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), directors that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Better Therapeutics, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the Affiliates, officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary, is presently a party to any transaction with the Company or any Subsidiary or to a presently contemplated transaction (other than for services as employees, officers officers, and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Pathfinder Bancorp, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company Company, is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Kythera Biopharmaceuticals Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company and, to the Company’s Knowledgeknowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act and the Exchange Act.
Appears in 1 contract
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Pinnacle Data Systems Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the executive officers or directors of the Company or any Subsidiary and, to the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Twinlab Consolidated Holdings, Inc.)
Transactions With Affiliates and Employees. Except as set forth in the SEC ReportsReports made on or prior to the date hereof, none of the officers or directors of the Company and, to the Company’s Knowledge, none of the employees of the Company is presently a party to any transaction with the Company or any Subsidiary of its Subsidiaries or to a presently contemplated transaction (other than for services as employees, officers and directors), ) that would be required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under the Securities Act.
Appears in 1 contract
Samples: Securities Purchase Agreement (Tutogen Medical Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none None of the officers or directors of the Company and, to the knowledge of the Company’s Knowledge, none of the employees of the Company is presently a party to any material transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), that would be is required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under in the Securities ActSEC Reports and is not so disclosed.
Appears in 1 contract
Samples: Securities Purchase Agreement (Digital Recorders Inc)
Transactions With Affiliates and Employees. Except as set forth in the SEC Reports, none of the officers or directors of the Company or any Subsidiary and, to the knowledge of the Company’s Knowledge, none of the employees of the Company or any Subsidiary is presently a party to any transaction with the Company or any Subsidiary (other than for services as employees, officers and directors), ) that would be are required to be disclosed pursuant to Item 404 of Regulation S-K promulgated under described or filed in the Securities ActSEC Reports and are not so described, in all material respects, or filed as required.
Appears in 1 contract
Samples: Securities Purchase Agreement (Cardium Therapeutics, Inc.)