Common use of Filings, Consents and Approvals Clause in Contracts

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 136 contracts

Samples: Securities Purchase Agreement (Arrowhead Research Corp), Securities Purchase Agreement (Athersys, Inc / New), Securities Purchase Agreement (One Horizon Group, Inc.)

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Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 113 contracts

Samples: Securities Purchase Agreement (U.S. Gold Corp.), Securities Purchase Agreement (Ensysce Biosciences, Inc.), Securities Purchase Agreement (Color Star Technology Co., Ltd.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 101 contracts

Samples: Securities Purchase Agreement (Celularity Inc), Securities Purchase Agreement (Kintara Therapeutics, Inc.), Securities Purchase Agreement (Flux Power Holdings, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 86 contracts

Samples: Securities Purchase Agreement (Synergy Pharmaceuticals, Inc.), Securities Purchase Agreement (Bridgeline Digital, Inc.), Securities Purchase Agreement (Myos Rens Technology Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 81 contracts

Samples: Securities Purchase Agreement (TFF Pharmaceuticals, Inc.), Securities Purchase Agreement (Aclarion, Inc.), Securities Purchase Agreement (MoSys, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 57 contracts

Samples: Securities Purchase Agreement (Arqit Quantum Inc.), Securities Purchase Agreement (Akers Biosciences, Inc.), Securities Purchase Agreement (ASTROTECH Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 57 contracts

Samples: Securities Purchase Agreement (Reeds Inc), Securities Purchase Agreement (Wizzard Software Corp /Co), Securities Purchase Agreement (General Steel Holdings Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iv) the filing of Form D with the Commission and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 52 contracts

Samples: Securities Purchase Agreement (Staffing 360 Solutions, Inc.), Securities Purchase Agreement (Phio Pharmaceuticals Corp.), Securities Purchase Agreement (Pulmatrix, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 30 contracts

Samples: Form of Securities Purchase Agreement (Inventergy Global, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Form of Securities Purchase Agreement (Lilis Energy, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Conversion Shares for trading thereon in the time and manner required thereby and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 28 contracts

Samples: Securities Purchase Agreement (Directview Holdings Inc), Securities Purchase Agreement (ECO Building Products, Inc.), Securities Purchase Agreement (Electronic Cigarettes International Group, Ltd.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 27 contracts

Samples: Securities Purchase Agreement (Senmiao Technology LTD), Securities Purchase Agreement (Aptorum Group LTD), Securities Purchase Agreement (Asterias Biotherapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares Warrants for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 22 contracts

Samples: Underwriting Agreement (Sekur Private Data Ltd.), Underwriting Agreement (VerifyMe, Inc.), Underwriting Agreement (Orbsat Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 20 contracts

Samples: Securities Purchase Agreement (GTC Biotherapeutics Inc), Securities Purchase Agreement (Xfone Inc), Securities Subscription Agreement (Gentium S.p.A.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the "Required Approvals").

Appears in 16 contracts

Samples: Securities Purchase Agreement (Cyberkinetics Neurotechnology Systems, Inc.), Securities Purchase Agreement (Oxis International Inc), Securities Purchase Agreement (Concentrax Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 16 contracts

Samples: Securities Purchase Agreement (Vuzix Corp), Securities Purchase Agreement (ARCA Biopharma, Inc.), Securities Purchase Agreement (China Valves Technology, Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 16 contracts

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Genius Brands International, Inc.), Underwriting Agreement (Powerbridge Technologies Co., Ltd.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 14 contracts

Samples: Form of Securities Purchase Agreement (LiveXLive Media, Inc.), Securities Purchase Agreement (Cemtrex Inc), Securities Purchase Agreement (Obalon Therapeutics Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority Governmental Authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 11 contracts

Samples: Underwriting Agreement (OceanPal Inc.), Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Top Ships Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.16 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 10 contracts

Samples: Underwriting Agreement (Titan Pharmaceuticals Inc), Underwriting Agreement (Elate Group, Inc.), Underwriting Agreement (SeqLL, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iiiii) application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the listing of the Shares and Warrant Shares Securities for trading thereon in the time time, manner and manner to the extent required thereby by the Trading Market and (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 10 contracts

Samples: Placement Agency Agreement (Medical Transcription Billing, Corp), Placement Agency Agreement (Medical Transcription Billing, Corp), Placement Agency Agreement (Medical Transcription Billing, Corp)

Filings, Consents and Approvals. The Except as set forth in its SEC filings and/or on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iviii) such filings as are required to be made under applicable state or federal securities laws Laws (collectively, the “Required Approvals”).

Appears in 9 contracts

Samples: Securities Purchase Agreement (Digital Brands Group, Inc.), Securities Purchase Agreement (Digital Brands Group, Inc.), Securities Purchase Agreement (Digital Brands Group, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby thereby, and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 9 contracts

Samples: Securities Purchase Agreement (Zurvita Holdings, Inc.), Securities Purchase Agreement (Worldwide Energy & Manufacturing Usa Inc), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 9 contracts

Samples: Underwriting Agreement (Xenetic Biosciences, Inc.), Underwriting Agreement (Bio Key International Inc), Underwriting Agreement (Summit Wireless Technologies, Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iviii) such filings as are required to be made under applicable state or federal securities laws (collectively, the “Required Approvals”).

Appears in 9 contracts

Samples: Securities Purchase Agreement (Transportation & Logistics Systems, Inc.), Securities Purchase Agreement (Mitesco, Inc.), Securities Purchase Agreement (Transportation & Logistics Systems, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, Supplement and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 8 contracts

Samples: Securities Purchase Agreement (China Xiangtai Food Co., Ltd.), Securities Purchase Agreement (SOS LTD), Securities Purchase Agreement (SOS LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of a Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 8 contracts

Samples: Securities Purchase Agreement (AmpliTech Group, Inc.), Securities Purchase Agreement (Petros Pharmaceuticals, Inc.), Securities Purchase Agreement (Vision Marine Technologies Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, 4.4; (ii) the filing with the Commission of the Prospectus Supplement, ; (iii) the filing and approval of the application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby; and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 8 contracts

Samples: Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iv) the filing of Form D with the Commission, and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 7 contracts

Samples: Securities Purchase Agreement (ReWalk Robotics Ltd.), Securities Purchase Agreement (Cel Sci Corp), Securities Purchase Agreement (Cel Sci Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and the Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 7 contracts

Samples: Securities Purchase Agreement (Ebang International Holdings Inc.), Securities Purchase Agreement (Ebang International Holdings Inc.), Securities Purchase Agreement (Ebang International Holdings Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus Supplement, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iiiii) application(s) to each applicable the NASDAQ Capital Market (the “Trading Market Market”) for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Supplemental Agreement (Dataram Corp), Placement Agency Agreement (INNOVATION ECONOMY Corp), Placement Agency Agreement (Bioanalytical Systems Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority Governmental Authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Securities Purchase Agreement (United Maritime Corp), Securities Purchase Agreement (mCloud Technologies Corp.), Securities Purchase Agreement (mCloud Technologies Corp.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iiiblue sky filings or a Form D filing(ii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Securities Purchase Agreement (Innovative Payment Solutions, Inc.), Securities Purchase Agreement (Innovative Payment Solutions, Inc.), Securities Purchase Agreement (Innovative Payment Solutions, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus Supplement, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iiiii) application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Placement Agency Agreement (Cereplast Inc), Placement Agency Agreement (ARCA Biopharma, Inc.), Placement Agency Agreement (ARCA Biopharma, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Securities Purchase Agreement (Digital Angel Corp), Security Agreement (NewCardio, Inc.), Securities Purchase Agreement (GreenHouse Holdings, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the "Required Approvals").

Appears in 6 contracts

Samples: Securities Purchase Agreement (Uranium Energy Corp), Securities Purchase Agreement (Uranium Energy Corp), Securities Purchase Agreement (Cel Sci Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”"REQUIRED APPROVALS").

Appears in 6 contracts

Samples: Securities Purchase Agreement (Pacificnet Inc), Securities Purchase Agreement (Genius Products Inc), Securities Purchase Agreement (Genius Products Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iv) such filings as may be required by the rules and regulations of the Financial Industry Regulatory Authority and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 6 contracts

Samples: Securities Purchase Agreement (Gevo, Inc.), Securities Purchase Agreement (Ra Medical Systems, Inc.), Securities Purchase Agreement (Gevo, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required consents, waivers and authorizations that shall be obtained prior to be made under applicable state securities laws Closing (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Securities Purchase Agreement (Stellar Biotechnologies, Inc.), Securities Purchase Agreement (Zomedica Pharmaceuticals Corp.), Securities Purchase Agreement (Stellar Biotechnologies, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”"REQUIRED APPROVALS").

Appears in 5 contracts

Samples: Securities Purchase Agreement (Sanswire Corp.), Securities Purchase Agreement (Globetel Communications Corp), Securities Purchase Agreement (Alternate Energy Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) such filings as are required to be made under applicable state securities laws and (iv) such consents, waivers and authorizations that shall be obtained prior to Closing (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Securities Purchase Agreement (Opgen Inc), Securities Purchase Agreement (Opgen Inc), Securities Purchase Agreement (Opgen Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Registration Statement, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementFinal Prospectus, (iiiii) application(s) to each applicable Trading the Nasdaq Capital Market for the listing of the Shares and Warrant Shares Company’s shares of Common Stock for trading thereon in the time and manner required thereby and (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Placement Agency Agreement (Biolife Solutions Inc), Escrow Deposit Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws and FINRA (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Cortex Pharmaceuticals Inc/De/)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and the Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Securities Purchase Agreement (KushCo Holdings, Inc.), Securities Purchase Agreement (Interpace Diagnostics Group, Inc.), Securities Purchase Agreement (NextPlay Technologies Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares applicable Securities for trading thereon in the time and manner required thereby thereby, (iv) the filing of a Current Report on Form 6-K with respect to this Agreement, and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 5 contracts

Samples: Securities Purchase Agreement (ReneSola LTD), Securities Purchase Agreement (ReneSola LTD), Securities Purchase Agreement (ReneSola LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws thereby, (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Future FinTech Group Inc.), Form of Securities Purchase Agreement (Lizhi Inc.), Securities Purchase Agreement (AgEagle Aerial Systems Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction DocumentsDocuments that has not been obtained, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc), Securities Purchase Agreement (Document Security Systems Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 4.1 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of additional shares with respect to the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iviii) such filings as are required to be made under applicable state securities laws laws, with each of the items listed in clauses (collectively, the i)-(iii) inclusive being deemed a “Required ApprovalsApproval”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Focus Enhancements Inc), Securities Purchase Agreement (Focus Enhancements Inc), Securities Purchase Agreement (Focus Enhancements Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Public Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Underwriting Agreement (Paltalk, Inc.), Underwriting Agreement (Paltalk, Inc.), Marygold Companies, Inc.

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (clauses (i)-(iv), collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Inpixon), Securities Purchase Agreement (Inpixon), Securities Purchase Agreement (Inpixon)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority Governmental Authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) the filing of a Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Seanergy Maritime Holdings Corp.), Securities Purchase Agreement (Seanergy Maritime Holdings Corp.), Securities Purchase Agreement (Seanergy Maritime Holdings Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, (iii) the filing of Form D with the Commission and (iv) such filings as are required to be made under applicable state securities laws and (iv) as set forth on Schedule 3.1(e) (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Sg Blocks, Inc.), Securities Purchase Agreement (Sg Blocks, Inc.), Securities Purchase Agreement (Sg Blocks, Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Toughbuilt Industries, Inc), Securities Purchase Agreement (Toughbuilt Industries, Inc), Securities Purchase Agreement (Toughbuilt Industries, Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and the Ordinary Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Tian Ruixiang Holdings LTD), Securities Purchase Agreement (U Power LTD), Securities Purchase Agreement (SHENGFENG DEVELOPMENT LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereon, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”)laws.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Viragen Inc), Securities Purchase Agreement (Viragen Inc), Securities Purchase Agreement (Pacificnet Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 4 contracts

Samples: Securities Purchase Agreement (Laredo Oil, Inc.), Securities Purchase Agreement (Beamz Interactive Inc), Securities Purchase Agreement (Genspera Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) as are required to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, each as applicable, and (iv) and such filings as are required to be made under applicable state securities laws law, each as applicable (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Castor Maritime Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, and (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (22nd Century Group, Inc.), Securities Purchase Agreement (22nd Century Group, Inc.), Securities Purchase Agreement (22nd Century Group, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementFinal Prospectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (FibroBiologics, Inc.), Securities Purchase Agreement (reAlpha Tech Corp.), Securities Purchase Agreement (reAlpha Tech Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing with the Commission of such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Atossa Therapeutics, Inc.), Securities Purchase Agreement (Atossa Therapeutics, Inc.), Securities Purchase Agreement (Atossa Genetics Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iv) such filings filings, if any, as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.)

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Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state and federal securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Subscription Agreement (Marshall Edwards Inc), Securities Subscription Agreement (Marshall Edwards Inc), Securities Subscription Agreement (Marshall Edwards Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Ordinary Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Freight Technologies, Inc.), Securities Purchase Agreement (Freight Technologies, Inc.), Securities Purchase Agreement (Hudson Capital Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby thereon, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Nanoviricides, Inc.), Securities Purchase Agreement (SOCIAL REALITY, Inc.), Securities Purchase Agreement (XpresSpa Group, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) and such filings as are required to be made under applicable state securities laws law, each as applicable (collectively, the "Required Approvals").

Appears in 3 contracts

Samples: Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.), Securities Purchase Agreement (Top Ships Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(snotice(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereon, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Panbela Therapeutics, Inc.), Securities Purchase Agreement (Panbela Therapeutics, Inc.), Securities Purchase Agreement (Panbela Therapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, if any; and (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Marpai, Inc.), Securities Purchase Agreement (Marpai, Inc.), Securities Purchase Agreement (Marpai, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) the notice and/or application(s) to each applicable the principal Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) such filings as are required to be made under applicable state securities laws and (v) such consents, waivers and authorizations that shall be obtained prior to the Closing (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (ImmunityBio, Inc.), Securities Purchase Agreement (ImmunityBio, Inc.), Securities Purchase Agreement (ImmunityBio, Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iiiblue sky filings or a Form D filing(ii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iii) filings necessary to perfect the Liens in favor of the Purchasers under the Security Agreement and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Innovative Payment Solutions, Inc.), Securities Purchase Agreement (Innovative Payment Solutions, Inc.), Securities Purchase Agreement (Innovative Payment Solutions, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, (iv) the filing of the Certificate of Designation, and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Nanosphere Inc), Securities Purchase Agreement (Nanosphere Inc), Securities Purchase Agreement (Nanosphere Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws and (v) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (MICT, Inc.), Securities Purchase Agreement (EBET, Inc.), Securities Purchase Agreement (Amesite Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings and approval required pursuant to Section 4.4 of this Agreement4.4, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Skystar Bio-Pharmaceutical Co), Securities Purchase Agreement (Vuzix Corp), Securities Purchase Agreement (Vuzix Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplementa Registration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Pell Lewis C), Securities Purchase Agreement (Vision Sciences Inc /De/), Securities Purchase Agreement (Oneda Katsumi)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and the Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings filings, if any, as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.), Securities Purchase Agreement (DARA BioSciences, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Senesco Technologies Inc), Securities Purchase Agreement (Innovus Pharmaceuticals, Inc.), Securities Purchase Agreement (Senesco Technologies Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) or notice to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Intrusion Inc), Securities Purchase Agreement (Aridis Pharmaceuticals, Inc.), Securities Purchase Agreement (Blue Star Foods Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (ii) such filings as are required to be made under applicable state securities laws and (iii) application(s) to each applicable the Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Underwriting Agreement (Quanergy Systems, Inc.), Underwriting Agreement (Quanergy Systems, Inc.), Quanergy Systems, Inc.

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction DocumentsDocuments to which it is a party, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) such filings as are required to be made under applicable state securities laws laws, and (v) any ordinary course report of distribution and similar filings with the TSX or other certain Canadian Authorities related hereto (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Form of Securities Purchase Agreement (A2Z Smart Technologies Corp), Form of Securities Purchase Agreement (A2Z Smart Technologies Corp), Form of Securities Purchase Agreement (A2Z Smart Technologies Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Base Prospectus, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementFinal Prospectus, (iiiii) application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iviii) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Placement Agency Agreement (CNS Pharmaceuticals, Inc.), Placement Agency Agreement (HeartBeam, Inc.), Placement Agency Agreement (HeartBeam, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 3 contracts

Samples: Securities Purchase Agreement (Fortress Biotech, Inc.), Securities Purchase Agreement (Danimer Scientific, Inc.), Securities Purchase Agreement (Fortress Biotech, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.3 of this Agreement, (ii) the filing with the Commission of pursuant to the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Guardforce AI Co., Ltd.), Securities Purchase Agreement (Dunxin Financial Holdings LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) ), if required, to each applicable Trading Market for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable federal and state securities laws (collectively, the Required ApprovalsApprovals ”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Trellis Earth Products Inc), Securities Purchase Agreement (Carbon Sciences, Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Genius Brands International, Inc.), Securities Purchase Agreement (Genius Brands International, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Advanced Battery Technologies, Inc.), Securities Purchase Agreement (Advanced Battery Technologies, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws and the rules and regulations promulgated by the Financial Industry Regulatory Authority (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Diffusion Pharmaceuticals Inc.), Form of Securities Purchase Agreement (Diffusion Pharmaceuticals Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) such filings as are required to be made under applicable state securities laws laws, and (v) Authorized Share Approval (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Invicta Media Investments, LLC), Securities Purchase Agreement (iMedia Brands, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Rights Agreement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iv) the filing of Form D with the Commission and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Histogen Inc.), Securities Purchase Agreement (Histogen Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documentsthis Agreement, other than: than (i) the filings required pursuant to Section 4.4 of by this Agreement, (ii) the filing with the Commission of the Prospectus SupplementSupplement and a Current Report on Form 8-K, (iii) the filing of application(s) to each applicable and approval by the Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Inc. (“FINRA”) (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Market Offering Agreement (NovaBay Pharmaceuticals, Inc.), Market Offering Agreement (NovaBay Pharmaceuticals, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Greenshoe Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (China Integrated Energy, Inc.), Securities Purchase Agreement (China Integrated Energy, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, ; (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Neurotrope, Inc.), Form of Securities Purchase Agreement (Mannkind Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares represented by the ADSs for trading thereon in the time and manner required thereby thereby, and (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Subscription Agreement (Gentium S.p.A.), Securities Subscription Agreement (Gentium S.p.A.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority Governmental Entity or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.6 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, (iii) the filing of Form D with the Commission and (iv) such filings as are required to be made under applicable state securities laws and (iv) Shareholder Approval (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Inventergy Global, Inc.), Securities Purchase Agreement (Inventergy Global, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, (iv) the filing with the Commission of a preliminary and definitive information statement or proxy statement in respect of the Stockholder Approval and (ivv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Ontrak, Inc.), Securities Purchase Agreement (Ontrak, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.2 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) an application to each applicable Trading Market NASDAQ for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) such filings as are required to be made under applicable state securities laws or FINRA (collectively, the “Required Approvals”). All Required Approvals necessary for the transactions contemplated by the Transaction Documents, including the delivery of the Shares to the Purchaser, will have been obtained by the Company on or prior to the Closing Date.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Synta Pharmaceuticals Corp), Common Stock Purchase Agreement (Synta Pharmaceuticals Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementRegistration Statement and the Prospectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Avenue Therapeutics, Inc.), Securities Purchase Agreement (Avenue Therapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Conversion Shares and the Registered Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (NXT-Id, Inc.), Securities Purchase Agreement (NXT-Id, Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus SupplementProspectus, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (Bio Key International Inc), Securities Purchase Agreement (Bio Key International Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.4 4.2 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the listing of the Shares and Warrant Conversion Shares for trading thereon in the time and manner required thereby and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).

Appears in 2 contracts

Samples: Securities Purchase Agreement (pSivida Corp.), Securities Purchase Agreement (SANUWAVE Health, Inc.)

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