Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor (a) In connection with the purchase or sale of a security YES ¨ NO ¨ (b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ NO ¨ (c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ NO ¨
Appears in 3 contracts
Sources: Securities Purchase Agreement (DropCar, Inc.), Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (WPCS International Inc)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ NO ¨NO
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ NO ¨NO
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ NO ¨NO
Appears in 3 contracts
Sources: Securities Purchase Agreement (Reign Sapphire Corp), Securities Purchase Agreement (WPCS International Inc), Securities Purchase Agreement (Emerald Medical Applications Corp.)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ NO ¨x NO
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ NO ¨x NO
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ NO ¨x NO
Appears in 1 contract
Sources: Securities Purchase Agreement (iHookup Social, Inc.)
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ _______ NO ¨_______
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ _______ NO ¨_______
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ _______ NO ¨_______
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ NO ¨Yes No
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ NO ¨Yes No
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ NO ¨Yes No
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ ___ NO ¨___
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ ___ NO ¨___
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ ___ NO ¨___
Appears in 1 contract
Criminal Convictions. Within the past 10 years (or five years, in the of case the Company), have you or the Company been convicted of any felony or misdemeanor
(a) In connection with the purchase or sale of a security YES ¨ ___ NO ¨___
(b) Involving the making of a false filing with the Securities and Exchange Commission (the “SEC”) YES ¨ ___ NO ¨___
(c) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities. YES ¨ YES___ NO ¨___
Appears in 1 contract