Common use of Exempt Transaction Clause in Contracts

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 40 contracts

Samples: Warrant Agreement (Your Internet Defender, Inc), Warrant Agreement (Tpi Composites, Inc), Warrant Agreement (Aegerion Pharmaceuticals, Inc.)

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Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 32 contracts

Samples: Loan and Security Agreement (Tricida, Inc.), Loan and Security Agreement (Tricida, Inc.), Loan and Security Agreement (Axsome Therapeutics, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 25 contracts

Samples: Warrant Agreement (Cempra, Inc.), Warrant Agreement (Cempra, Inc.), Warrant Agreement (Your Internet Defender, Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's ------------------ representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 25 contracts

Samples: Warrant Agreement (Iown Holdings Inc), Warrant Agreement (Flycast Communications Corp), Warrant Agreement (Support Com Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 15 contracts

Samples: Warrant Agreement (Quantum Corp /De/), Warrant Agreement (STRATA Skin Sciences, Inc.), Warrant Agreement (InspireMD, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 11 contracts

Samples: Warrant Agreement (Comscore, Inc.), Warrant Agreement (IPC the Hospitalist Company, Inc.), Warrant Agreement (Comscore, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Warrantholder's right to purchase such Preferred Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 8 contracts

Samples: Warrant Agreement (Argonaut Technologies Inc), Warrant Agreement (Argonaut Technologies Inc), Warrant Agreement (Argonaut Technologies Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 7 contracts

Samples: Warrant Agreement (Paratek Pharmaceuticals, Inc.), Warrant Agreement (Senseonics Holdings, Inc.), Warrant Agreement (Provention Bio, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 7 contracts

Samples: Warrant Agreement (NeurogesX Inc), Warrant Agreement (Acelrx Pharmaceuticals Inc), Warrant Agreement (Acelrx Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 6 contracts

Samples: General Security Agreement (Identive Group, Inc.), Warrant Agreement (Diomed Holdings Inc), Panacos Warrant Agreement (Panacos Pharmaceuticals, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Common Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 6 contracts

Samples: Loan and Security Agreement (ChromaDex Corp.), Warrant Agreement (Turtle Beach Corp), Warrant Agreement (Turtle Beach Corp)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Capital Stock upon exercise of this AgreementWarrant, and and, if applicable, the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 5 contracts

Samples: Credit Agreement (Intuity Medical, Inc.), Warrant Agreement (Intuity Medical, Inc.), Warrant Agreement (Intuity Medical, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 5 contracts

Samples: Warrant Agreement (TransMedics Group, Inc.), Warrant Agreement (TransMedics Group, Inc.), Warrant Agreement (TransMedics Group, Inc.)

Exempt Transaction. Subject to the accuracy of the WarrantholderXxxxxx’s representations in Section 1011, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 4 contracts

Samples: Loan and Security Agreement (Complete Solaria, Inc.), Purchase Stock (Urgent.ly Inc.), Urgent.ly Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Aveo Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 4 contracts

Samples: Warrant Agreement (RedBall Acquisition Corp.), Warrant Agreement (Anacor Pharmaceuticals, Inc.), Warrant Agreement (Anacor Pharmaceuticals, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Warrant Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Warrant Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Horizon Pharma, Inc.), Warrant Agreement (Horizon Pharma, Inc.), Warrant Agreement (Horizon Pharma, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, ; and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (ViewRay, Inc.), Warrant Agreement (Viewray Inc), Warrant Agreement (ViewRay, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Cerecor Inc.), Warrant Agreement (Cerecor Inc.), Warrant Agreement (Glori Acquisition Corp.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Common Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (American Superconductor Corp /De/), Warrant Agreement (American Superconductor Corp /De/), Warrant Agreement (American Superconductor Corp /De/)

Exempt Transaction. Subject to the accuracy of the WarrantholderHolder’s representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, 1933 Act in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Reorganization Agreement (Thomas Weisel Partners Group, Inc.), Reorganization Agreement (Thomas Weisel Partners Group, Inc.), Entrust Inc

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Pulmatrix, Inc.), Warrant Agreement (Genocea Biosciences, Inc.), Warrant Agreement (Agile Therapeutics Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 3 contracts

Samples: Warrant Agreement (Intuity Medical, Inc.), Warrant Agreement (Intuity Medical, Inc.), Warrant Agreement (Annie's, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 1011, the issuance of the Series C Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Series C Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Everyday Health, Inc.), Warrant Agreement (Everyday Health, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock shares of the Class upon exercise of this AgreementAgreement (and, and if applicable, the issuance of the Common Stock upon conversion of the Preferred Stocksuch shares), will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Gelesis Inc), Warrant Agreement (Gelesis Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, 1933 Act in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Discovery Partners International Inc, Discovery Partners International Inc

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred StockWarrant, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Epicept Corp), Warrant Agreement (Epicept Corp)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Cytrx Corp), Warrant Agreement (Cytrx Corp)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 1010 and compliance with its obligations in Section 11, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Elixir Pharmaceuticals Inc), Warrant Agreement (Elixir Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Exelixis Inc, Exelixis Inc

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Gelesis Inc), Warrant Agreement (Gelesis Inc)

Exempt Transaction. Subject to the accuracy of the WarrantholderHolder’s representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act of 1933, as amended (the “Securities Act”), in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Handheld Entertainment, Inc., Handheld Entertainment, Inc.

Exempt Transaction. Subject to and in reliance on the accuracy of the Warrantholder’s 's representations in Section 109, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Omrix Biopharmaceuticals, Inc.), Omrix Biopharmaceuticals, Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations set forth in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (BIND Therapeutics, Inc), Warrant Agreement (BIND Therapeutics, Inc)

Exempt Transaction. Subject to the accuracy of the WarrantholderXxxxxx’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Purchase Stock (Urgent.ly Inc.), Urgent.ly Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Baxano Surgical, Inc.), Warrant Agreement (Immune Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreementthe Warrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, if applicable, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Aveo Pharmaceuticals Inc), Warrant Agreement (Aveo Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 2 contracts

Samples: Warrant Agreement (Mast Therapeutics, Inc.), Cerulean Pharma Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute Agreement constitutes a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Staar Surgical Co

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred shares of Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Yumanity Therapeutics, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.. (f)

Appears in 1 contract

Samples: Loan and Security Agreement (Tricida, Inc.)

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Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's ------------------ representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from from: (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Homegrocer Com Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations set forth in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (BIND Therapeutics, Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a a. transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Omrix Biopharmaceuticals, Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Warrantholder's right to purchase such Preferred Stock upon conversion of the Preferred Stock, will each constitute a transaction transactions exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.from

Appears in 1 contract

Samples: Omnicell Com /Ca/

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations 's representation in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.the

Appears in 1 contract

Samples: Warrant Agreement (Lightspan Partnership Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10I 0, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Dare Bioscience, Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws, in each case, pursuant to applicable laws and regulations in effect as of the Effective Date.

Appears in 1 contract

Samples: Warrant Agreement (Alexza Pharmaceuticals Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Stock will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Enphase Energy, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Series A-2 Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Securities Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Occam Networks Inc/De)

Exempt Transaction. Subject to the truth and accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of such Preferred Stock in accordance with the Preferred StockCharter, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Omthera Pharmaceuticals, Inc.)

Exempt Transaction. Subject to the accuracy of the ------------------ Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereofthereof or upon Regulation D promulgated thereunder, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Getthere Com)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Genocea Biosciences, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.. ​ ​

Appears in 1 contract

Samples: Warrant Agreement (Tg Therapeutics, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Common Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Agreement will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(24(a)(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.. (e)

Appears in 1 contract

Samples: Concert Pharmaceuticals, Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i1) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Theravance Inc

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations set forth in Section 10, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Pacira Pharmaceuticals, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this Agreementthe Warrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, Act and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Aveo Pharmaceuticals Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.)

Appears in 1 contract

Samples: Warrant Agreement (Net Genesis Corp)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Allos Therapeutics

Exempt Transaction. Subject to the accuracy of the WarrantholderHxxxxx’s representations in Section 1011, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Urgent.ly Inc.

Exempt Transaction. Subject to the accuracy of the WarrantholderHxxxxx’s representations in Section 10, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Securities Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Urgent.ly Inc.

Exempt Transaction. Subject to the accuracy of the Warrantholder’s representations in Section 1011 hereof, the issuance of the Series A Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Series A Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Plures Technologies, Inc./De)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof both now and at the time of each exercise of this Warrant Agreement, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Omnicell Com /Ca/

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 10, the issuance of the Preferred Stock upon exercise of this AgreementWarrant, and the issuance of the Common Stock upon conversion of the Preferred Stock, will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Sirtris Pharmaceuticals, Inc.)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s Holder's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the Act, 1933 Act in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Entrust Inc

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion exercise of the Preferred Stock, this Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Ask Jeeves Inc)

Exempt Transaction. Subject to the accuracy of the Warrantholder’s 's representations in Section 1010 hereof, the issuance of the Preferred Stock upon exercise of this Agreement, and the issuance of the Common Stock upon conversion of the Preferred Stock, Warrant will each constitute a transaction exempt from (i) the registration requirements of Section 5 of the 1933 Act, in reliance upon Section 4(2) thereof, and (ii) the qualification qualifi cation requirements of the applicable state securities laws.

Appears in 1 contract

Samples: Warrant Agreement (Showcase Corp /Mn)

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