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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 45 contracts
Samples: Securities Purchase Agreement (Basic Services, Inc.), Securities Purchase Agreement (GuangZhou Global Telecom, Inc.), Securities Purchase Agreement (Star 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 than: (i) the filings required pursuant to Section 4.64.3 of this Agreement, (ii) the filing with the Commission of the Registration StatementCommission, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 13 contracts
Samples: Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 11 contracts
Samples: Securities Purchase Agreement (Telanetix,Inc), Securities Purchase Agreement (Hartville Group Inc), Securities Purchase Agreement (uVuMobile, 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws and (v) Shareholder Approval (collectively, the “Required Approvals”).
Appears in 8 contracts
Samples: Securities Purchase Agreement (Innovative Card Technologies Inc), Registration Rights Agreement (Accentia Biopharmaceuticals Inc), Securities Purchase Agreement (Imageware 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 8 contracts
Samples: Securities Purchase Agreement (Calidi Biotherapeutics, Inc.), Securities Purchase Agreement (First Wave BioPharma, Inc.), Securities Purchase Agreement (First Wave 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 7 contracts
Samples: Securities Purchase Agreement (Wifimed Holdings Company, Inc.), Securities Purchase Agreement (Ecotality, Inc.), Securities Purchase Agreement (Analytical Surveys 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementStatement pursuant to Section 4.16 of this Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 7 contracts
Samples: Securities Purchase Agreement (Muscle Maker, Inc.), Securities Purchase Agreement (G Medical Innovations Holdings Ltd.), Securities Purchase Agreement (Creative Realities, 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws and (vi) Shareholder Approval (collectively, the “Required Approvals”).
Appears in 6 contracts
Samples: Securities Purchase Agreement (HyperSpace Communications, Inc.), Securities Purchase Agreement (HyperSpace Communications, Inc.), Securities Purchase Agreement (Innovative Card 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 than: (i) the filings required pursuant to Section 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, and (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Shares and Warrant Shares and the listing of the Underlying 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 5 contracts
Samples: Securities Purchase Agreement (Bioanalytical Systems Inc), Securities Purchase Agreement (Bioanalytical Systems Inc), Form of Securities Purchase Agreement (Oxigene 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement and Section 4.6, (iiiii) the notice and/or application(s) to each applicable Trading Market Market, if any, for the issuance and sale of the Securities Offering Shares and the listing of the Underlying Offering Shares for trading thereon in the time and manner required thereby thereby, and (iviii) 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 5 contracts
Samples: Unit Purchase Agreement (BioSig Technologies, Inc.), Unit Purchase Agreement (BioSig Technologies, Inc.), Unit Purchase Agreement (FTE Networks, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 5 contracts
Samples: Securities Purchase Agreement (Akeena Solar, Inc.), Securities Purchase Agreement (Westinghouse Solar, Inc.), Securities Purchase Agreement (Akeena Solar, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, Pre-Funded Warrant 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 5 contracts
Samples: Securities Purchase Agreement (INVO Bioscience, Inc.), Securities Purchase Agreement (NLS Pharmaceutics Ltd.), Securities Purchase Agreement (NLS Pharmaceutics 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 5 contracts
Samples: Securities Purchase Agreement (VBI Vaccines Inc/Bc), Securities Purchase Agreement (BioSolar Inc), Securities Purchase Agreement (Bionano Genomics, 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 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 5 contracts
Samples: Securities Purchase Agreement (Wave Uranium Holding), Securities Purchase Agreement (Hague Corp.), Securities Purchase Agreement (Premier Power Renewable 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 this Agreement and the Transaction Documentstransactions contemplated pursuant to the Time of Sale Disclosure Package, other than than: (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration StatementFinal Prospectus, (iiiii) the notice and/or application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the issuance and sale of the Securities and the listing of the Underlying Shares and the Warrant Shares 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 4 contracts
Samples: Placement Agency Agreement (Guardion Health Sciences, Inc.), Placement Agency Agreement (MoSys, Inc.), Co Placement Agency 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing filings with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 other filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 4 contracts
Samples: Rd Securities Purchase Agreement (EZGO Technologies Ltd.), Rd Securities Purchase Agreement (Avenue Therapeutics, Inc.), Rd Securities Purchase Agreement (Jupiter Wellness, 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, the other Transaction DocumentsDocuments to which it is a party and the transactions contemplated hereby, other than than: (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statementfinal Prospectus as required by Rule 424 under the Securities Act, (iiiii) application to the notice and/or application(s) to each applicable Nasdaq (the “Trading Market Market”), for the issuance and sale of the Securities and the listing of the 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 4 contracts
Samples: Underwriting Agreement (Republic Power Group LTD), Underwriting Agreement (ALE Group Holding LTD), Underwriting Agreement (Republic Power 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 authority, or the Financial Industry Regulatory Authority (“FINRA”), 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 4.64.2 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and approval for the listing of the Underlying Purchased 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 4 contracts
Samples: Securities Purchase Agreement (Kura Oncology, Inc.), Securities Purchase Agreement (Akero Therapeutics, Inc.), Securities Purchase Agreement (Allovir, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or filing and the approval of application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Hemispherx Biopharma Inc), Securities Purchase Agreement (Hemispherx Biopharma Inc), Securities Purchase Agreement (Hemispherx 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, statestate (including state blue sky law), 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 4.64.5 and Section 4.18 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, and (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Athersys, Inc / New), Securities Purchase Agreement (Athersys, Inc / New), Securities Purchase Agreement (Athersys, Inc / New)
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, statestate (including state blue sky law), 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 4.64.5 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, and (iii) the notice notices and/or application(s) to and approvals by each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iv) filings required by the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws Financial Industry Regulatory Authority (collectively, the “Required Approvals”).
Appears in 3 contracts
Samples: Securities Purchase Agreement (CNS Pharmaceuticals, Inc.), Securities Purchase Agreement (CNS Pharmaceuticals, Inc.), Securities Purchase Agreement (CNS 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementStatement pursuant to the Registration Rights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Polarityte, Inc.), Securities Purchase Agreement (Celularity Inc), Securities Purchase Agreement (Celularity 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares and Prefunded 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 (T Stamp Inc), Securities Purchase Agreement (T Stamp Inc), Securities Purchase Agreement (Cyclacel 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Agile Therapeutics Inc), Securities Purchase Agreement (Agile Therapeutics Inc), Securities Purchase Agreement (Agile 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market filing of a Notification Form: Listing of Additional Shares for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in and the time and manner required thereby Warrant Shares on the principal Trading Market, 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 (DelMar Pharmaceuticals, Inc.), Securities Purchase Agreement (DelMar Pharmaceuticals, Inc.), Securities Purchase Agreement (DelMar 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, the Pre-Funded Warrant Shares and the Private 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 3 contracts
Samples: Securities Purchase Agreement (Castellum, Inc.), Securities Purchase Agreement (Yield10 Bioscience, Inc.), Securities Purchase Agreement (CONTRAFECT 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 4.64.4 of this Agreement, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission Commission, and (v) 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 (Acelrx Pharmaceuticals Inc), Securities Purchase Agreement (NeuBase Therapeutics, Inc.), Securities Purchase Agreement (Surrozen, 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 this Agreement and the Transaction Documentstransactions contemplated pursuant to the Time of Sale Disclosure Package, other than than: (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration StatementFinal Prospectus, (iiiii) the notice and/or application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the issuance and sale of the Securities and the listing of the Underlying Shares and the Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iviii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws and (iv) the filing of a Form D with the Commission (collectively, the “Required Approvals”).
Appears in 3 contracts
Samples: Placement Agency Agreement (MoSys, Inc.), Placement Agency Agreement (Moleculin Biotech, Inc.), Placement Agency Agreement (Moleculin 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 than: (i) the filings required pursuant to Section 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the 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 Underlying 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 consents identified on Schedule 3.1(e) (collectively, the “Required Approvals”).
Appears in 3 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 or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, Statement and (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Empire Financial Holding Co), Securities Purchase Agreement (Neogenomics Inc), Securities Purchase Agreement (Jesup & Lamont, 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 Entity 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 4.6, Sections 4.2 and 4.20 of this Agreement; (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market the Principal Market, and the receipt of Shareholder Approval required for the issuance and sale of the Securities Exchange Shares and the listing of the Underlying Conversion Shares 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 2 contracts
Samples: Share Exchange Agreement (Ecoark Holdings, Inc.), Share Exchange Agreement (Ault Alliance, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares and Pre-Funded 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 (Lexaria Bioscience Corp.), Securities Purchase Agreement (Lexaria Bioscience 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares Securities 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 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Preferred Stock and Warrants and the listing of the Underlying 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 approvals set forth on Schedule 3.1(e) (collectively, the “Required Approvals”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (Callisto Pharmaceuticals Inc), Securities Purchase Agreement (Callisto 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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”"REQUIRED APPROVALS").
Appears in 2 contracts
Samples: Securities Purchase Agreement (Titanium Group LTD), Securities Purchase Agreement (Armor Electric, 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 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Notes and Warrant and the listing of the Underlying Shares and Warrant Underlying Shares 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 2 contracts
Samples: Securities Purchase Agreement (Andalay Solar, Inc.), Securities Purchase Agreement (Andalay Solar, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Shares and the listing of the Underlying 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 (Ispire Technology Inc.), Securities Purchase Agreement (Ispire 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 Documentsthis Agreement, other than (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 2 contracts
Samples: Purchase Agreement (Patient Safety Technologies, Inc), Exchange Agreement (Patient Safety 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 than: (i) the filings required pursuant to Section 4.65.6 of this Agreement, (ii) the filing with the Commission pursuant to Section 4.1 of the Registration Statementthis Agreement, (iii) if required, the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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: Stock Purchase Agreement (Nephros Inc), Stock Purchase Agreement (Nephros 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 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Conversion Shares and Warrant Shares and the listing of the Underlying 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 2 contracts
Samples: Securities Purchase Agreement (Marina Biotech, Inc.), Securities Purchase Agreement (Marina 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or filing and approval of the application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Offered Shares and Pre-Funded Warrants 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 2 contracts
Samples: Securities Purchase Agreement (GD Culture Group LTD), Securities Purchase Agreement (GD Culture 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, Prospectus and (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, Pre-Funded Warrant 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 (collectivelythereby.(collectively, the “Required Approvals”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (INVO Bioscience, Inc.), Securities Purchase Agreement (INVO Bioscience, 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) filings required pursuant to Section 4.64.5 of this Agreement or consents listed on Schedule 2.3(b)(viii), (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Access Integrated Technologies Inc), Securities Purchase Agreement (Access Integrated 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission Commission, and (v) 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 (Talphera, Inc.), Securities Purchase Agreement (Talphera, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, the Pre-Funded Warrant 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 (Recon Technology, LTD), Securities Purchase Agreement (Recon Technology, 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 than: (i) the filings required pursuant to Section 4.64.3 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, the Pre-Funded Warrant Shares and the 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 2 contracts
Samples: Securities Purchase Agreement (Altimmune, Inc.), Securities Purchase Agreement (Altimmune, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to to, and/or approval of, each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 including the Canadian Securities Laws (collectively, the “Required Approvals”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digihost Technology Inc.), Securities Purchase Agreement (Digihost 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 than: (i) the filings required pursuant to Section 4.6Sections 4.6 and 4.20 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to the Transfer Agent and to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Warrant Shares 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 2 contracts
Samples: Securities Purchase Agreement (Synthesis Energy Systems Inc), Securities Purchase and Exchange Agreement (Synthesis Energy 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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: Loan and Securities Purchase Agreement (Industrial Enterprises of America, Inc.), Loan and Securities Purchase Agreement (Industrial Enterprises of America, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in the time and manner required thereby and thereby, (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 (Delcath Systems, Inc.), Securities Purchase Agreement (Delcath 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to to, and/or approval of, each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 and the Canadian Securities Laws (collectively, the “Required Approvals”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (Digihost Technology Inc.), Securities Purchase Agreement (Digihost 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementCommission, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 2 contracts
Samples: Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig 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 than: (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement and Section 4.6, (iiiii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Common Stock and Warrant Shares and the listing of the Underlying Offering Shares for trading thereon in the time and manner required thereby thereby, and (iviii) 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 2 contracts
Samples: Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 (Aurelio Resource Corp), Securities Purchase Agreement (Towerstream 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 4.6, Sections 4.3 and 4.13 of this Agreement; (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion Shares and the Warrant Shares 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 2 contracts
Samples: Securities Purchase Agreement (Delcath Systems, Inc.), Securities Purchase Agreement (Delcath 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 4.64.4 of this Agreement, including a Current Report on Form 8-K (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or if required, application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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: Form of Securities Purchase Agreement (Aravive, Inc.), Form of Securities Purchase Agreement (Aravive, 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 4.64.6 of this Agreement, (ii) on or prior to the filing with the Commission of the Registration StatementPublic Company Date, (iii) the a notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iviii) 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 2 contracts
Samples: 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 than: (i) the filings required pursuant to Section 4.6Commission rules, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Preferred Stock and the listing of the Underlying Conversion 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 (Force Protection Video Equipment Corp.), Securities Purchase Agreement (Force Protection Video Equipment 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 Documents (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 and (v) (collectively, the “Required Approvals”).
Appears in 2 contracts
Samples: Securities Purchase Agreement (Intellicell Biosciences, Inc.), Securities Purchase Agreement (Intellicell 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable the principal Trading Market in the United States and the TSX for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (ReShape Lifesciences 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) filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares Securities 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 1 contract
Samples: Securities Purchase Agreement (Paincare 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereon, and (iv) the filing of Form D with the Commission Commision and (v) such other filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Arcadia 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) filings required pursuant to Section 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (Dobi Medical 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 than: (i) the filings required pursuant to Section 4.64.5 of this Agreement, (ii) the filing with the Commission of pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws and (v) Shareholder Approval (collectively, the “Required Approvals”).
Appears in 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statementone or more Prospectus Supplements, (iii) the notice and/or application(s) ), if any, to each applicable Trading Market for the issuance and sale listing of the Securities Draw Down Shares and the listing of the Underlying 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 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and the Warrant Shares, if applicable, 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 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereon, and (iv) the filing of Form D with the Commission and (v) such other filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Arcadia 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 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus, (iii) the 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 Underlying 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 1 contract
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 4.6, Sections 4.3 and 4.14 of this Agreement; (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion Shares, Warrant Shares and Restricted Shares 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 1 contract
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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Debentures and the listing of the Underlying Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws and (vi) Shareholder Approval (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Silverstar 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus (or any amendments or supplements thereto), (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (Cyclacel 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 than: (i) the filings required pursuant to Section 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration Statementomitted, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion 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 1 contract
Samples: Securities Purchase Agreement (Innovus Pharmaceuticals, Inc.)
Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization 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 delivery, and performance by the Company of the Transaction Documents, other than (i) filings required pursuant to Section 4.64.3 of this Agreement, (ii) the filing with with, and the declaration of effectiveness by, the Commission of the Registration Statement, (iii) the notice and/or application(s) and notification(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (Pressure 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 4.6, Sections 4.3 and 4.13 of this Agreement; (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion Shares and the Registered Shares 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 1 contract
Samples: Securities Purchase Agreement (New Age Beverages 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereon, (iv) the filing of Form D with the Commission and (v) such other filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Arcadia 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementStatement pursuant to the Registration Rights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iviii) the filing of Form D with the Commission Commission, and (iv) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 or federal securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Notes and Warrants and the listing of the Underlying 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 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, Prefunded Warrant 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 1 contract
Samples: Form of Securities Purchase Agreement (NRX 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementStatement pursuant to the Investor Rights Agreement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
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 4.6, Sections 4.3 and 4.14 of this Agreement; (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion Shares or the Warrant Shares 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 1 contract
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 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares (and as applicable, the Underlying Shares 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 1 contract
Samples: Securities Purchase Agreement (Nac Global 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares, the Pre-Funded Warrant Shares and the 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 1 contract
Samples: Securities Purchase Agreement (Yield10 Bioscience, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of required pursuant to the Registration StatementRights Agreement, (iii) the notice and/or application(s) or notification(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission and (v) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Eledon 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 this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus Supplement, other than than: (i) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iiiii) the notice and/or application(s) to each applicable the Nasdaq Capital Market (the “Trading Market Market”) for the issuance and sale of the Securities and the listing of the Underlying Shares and shares of Common Stock underlying the Warrants for trading thereon in the time and manner required thereby and (iviii) the filing of the 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 1 contract
Samples: Placement Agency Agreement (Marathon Patent 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 than: (i) the filings required pursuant to Section 4.64.4 of this Agreement, (ii) the filing with the Commission of the Resale Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iv) the filing of Form D with the Commission Commission, and (v) such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to to, and/or approval of, each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iviii) the filing of Form D with the Commission and (iv) such filings as are required to be made under applicable state securities laws and the Canadian Securities Laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement
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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares, if applicable, 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 1 contract
Samples: Securities Purchase Agreement (eFFECTOR 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 "REQUIRED Approvals”").
Appears in 1 contract
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 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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”); at or prior to the Closing.
Appears in 1 contract
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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) and one or more Forms D with respect to the notice and/or Shares as may be required under Regulation D of the Securities Act, the application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and applicable Blue Sky filings and (ivii) the filing of Form D with the Commission and such as have already been obtained or such exemptive filings as are required to be made under applicable state and federal securities laws (collectively, the “Required Approvals”)laws.
Appears in 1 contract
Samples: Securities Purchase Agreement (Keryx Biopharmaceuticals 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 4.64.4 of this Agreement, (ii) the filing filings with the Commission pursuant to Section 3.1(f)(ii) of the Registration Statementthis Agreement, and (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Pre-Funded 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 1 contract
Samples: Securities Purchase Agreement (Creative Realities, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereon, and (iv) the filing of Form D with the Commission Commision and such filings as are required to be made under applicable state securities laws (collectively, the “Required Approvals”).
Appears in 1 contract
Samples: Securities Purchase Agreement (Arcadia 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration StatementStatement and the Prospectus, (iiiii) the notice and/or application(sapplications(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the 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 1 contract
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) filings required reququired pursuant to Section 4.64.6 of this Agreement, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (Ableauctions Com 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) filings required pursuant to Section 4.6, (ii) the filing with the Commission of the Registration Statement, (iii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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”"REQUIRED APPROVALS").
Appears in 1 contract
Samples: Securities Purchase Agreement (Intraop Medical 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 4.6, (ii) the filing with Registration Rights Agreement and the Commission declaration of effectiveness by the SEC of the Registration Statement, (iiiii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying Conversion Shares 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 1 contract
Samples: Securities Purchase Agreement (Charge Enterprises, 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 4.64.4 of this Agreement, (ii) the filing with the Commission of the Registration StatementProspectus Supplement, (iii) the notice and/or application(s) and/or notice to the Transfer Agent and each applicable Trading Market for the issuance and sale of the Securities and the listing of the Underlying 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 1 contract
Samples: Securities Purchase Agreement (Synthesis Energy Systems Inc)
