Criminal Convictions. Has the undersigned been convicted, within the last ten years, of any felony or misdemeanor: · in connection with the purchase or sale of any security; · involving the making of any false filing with the SEC; or · 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 (Pulse Biosciences, Inc.), Securities Purchase Agreement (Pulse Biosciences, Inc.), Securities Purchase Agreement (Pulse Biosciences, Inc.)
Criminal Convictions. Has the undersigned been convicted, within the last ten years, of any felony or misdemeanor: · in connection with the purchase or sale of any security; · involving the making of any false filing with the SEC; or · 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
Sources: Securities Purchase Agreement (NEUROONE MEDICAL TECHNOLOGIES Corp)
Criminal Convictions. Has the undersigned been convicted, within the last ten years, of any felony or misdemeanor: · • in connection with the purchase or sale of any security; · • involving the making of any false filing with the SEC; or · • 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
Sources: Securities Purchase Agreement (Enphase Energy, Inc.)
Criminal Convictions. Has the undersigned been convicted, within the last ten years, of any felony or misdemeanor: · ● in connection with the purchase or sale of any security; · ● involving the making of any false filing with the SEC; or · ● 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
Sources: Securities Purchase Agreement (Pulse Biosciences, Inc.)
Criminal Convictions. Has the undersigned been convicted, within the last ten years, of any felony or misdemeanor: · in connection with the purchase or sale of any security; · involving the making of any false filing with the SEC; or · 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