Common use of Filings, Consents and Approvals Clause in Contracts

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

Appears in 16 contracts

Samples: Securities Purchase Agreement (Vapir Enterprises Inc.), Securities Purchase Agreement (ECO Building Products, Inc.), Securities Purchase and Amendment Agreement (Wizard Entertainment, Inc.)

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Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 15 contracts

Samples: Securities Purchase Agreement (Amarantus Bioscience Holdings, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Lion Group Holding LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.14 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (xG TECHNOLOGY, INC.), Securities Purchase Agreement (xG TECHNOLOGY, INC.), 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: (i) any filings with the filings required Commission pursuant to Section 4.6 of this AgreementSections 4.1 and 4.2, and (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws thereby, if any (collectively, the “Required Approvals”).

Appears in 11 contracts

Samples: Securities Purchase Agreement (Cachet Financial Solutions, Inc.), Securities Purchase Agreement (Cachet Financial Solutions, Inc.), Securities Purchase Agreement (Cachet Financial Solutions, Inc.)

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

Appears in 9 contracts

Samples: Securities Purchase Agreement (Nutracea), Securities Purchase Agreement (Digital Ally Inc), Securities Purchase Agreement (PetVivo Holdings, Inc.)

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

Appears in 9 contracts

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

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 the Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 9 contracts

Samples: Securities Purchase Agreement (EVmo, Inc.), Exchange Agreement (EVmo, Inc.), Securities Purchase Agreement (Surna Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Microbot Medical Inc.), Securities Purchase Agreement (Actinium Pharmaceuticals, Inc.), Securities Purchase Agreement (Microbot Medical Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (ADVANCED MEDICAL ISOTOPE Corp), Securities Purchase Agreement (Crown Electrokinetics Corp.), Securities Purchase Agreement (ADVANCED MEDICAL ISOTOPE Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) the filing of Form D and 8-K 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 (Medbox, Inc.), Securities Purchase Agreement (Medbox, Inc.), Securities Purchase Agreement (Notis Global, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (Blink Logic Inc.), Securities Purchase Agreement (ZaZa Energy Corp), Securities Purchase Agreement (Biovest International Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares Shares, and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (1847 Holdings LLC), Securities Purchase Agreement (1847 Holdings LLC), Securities Purchase Agreement (Digital Brands Group, Inc.)

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

Appears in 4 contracts

Samples: Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc), Securities Purchase Agreement (Guided Therapeutics Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) ), if any, to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iiiiv) 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 (Arch Therapeutics, Inc.), Securities Purchase Agreement (Arch Therapeutics, Inc.), Securities Purchase Agreement (Arch Therapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (ASTROTECH Corp), Securities Purchase Agreement (1847 Holdings LLC), Securities Purchase Agreement (ASTROTECH Corp)

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

Appears in 3 contracts

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

Filings, Consents and Approvals. The 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 4.4 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws (collectively, collectively the "Required Approvals").

Appears in 3 contracts

Samples: Securities Purchase Agreement (Matritech Inc/De/), Securities Purchase Agreement (Matritech Inc/De/), Securities Purchase Agreement (Matritech Inc/De/)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 the Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (PetVivo Holdings, Inc.), Securities Purchase Agreement (Cell Source, Inc.), Securities Purchase Agreement (ComSovereign Holding Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) the filing of Form D the Prospectus Supplement 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 (Stevia First Corp.), Securities Purchase Agreement (Stevia First Corp.), Securities Purchase Agreement (Stevia First 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 Documentsthis Agreement, other than: (i) the filings required pursuant to Section 4.6 of this AgreementAgreement and other filings pursuant to the Securities Act, including a Form D; and (ii) the notice and/or application(s) or notice to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and New Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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”)thereby.

Appears in 3 contracts

Samples: Vivos Therapeutics, Inc., Motus GI Holdings, Inc., Hepion 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) any filings with the filings required Commission pursuant to Section 4.6 of this AgreementSections 4.1 and 4.2, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, if any, and (iii) 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 (Cachet Financial Solutions, Inc.), Securities Purchase Agreement (Cachet Financial Solutions, Inc.), Securities Purchase Agreement (Cachet Financial Solutions, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Preferred Stock and Warrant Shares and the listing of the Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (Biozone Pharmaceuticals, Inc.), Securities Purchase Agreement (OxySure Systems Inc), Securities Purchase Agreement (OxySure Systems Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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: Form of Securities Purchase Agreement (Terra Tech Corp.), Securities Purchase Agreement (Defense Technologies International Corp.), Securities Purchase Agreement (Oxis International Inc)

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

Appears in 3 contracts

Samples: Securities Purchase Agreement (Bit Brother LTD), Securities Purchase Agreement (Urban Tea, Inc.), Securities Purchase Agreement (Urban Tea, Inc.)

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

Appears in 3 contracts

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

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Preliminary Prospectus and Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Sintx Technologies, Inc.), Stock Purchase Agreement (Sintx 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 local, provincial or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (IntelGenx Technologies Corp.), Securities Purchase Agreement (IntelGenx Technologies Corp.)

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

Appears in 2 contracts

Samples: Securities Purchase Agreement (Titan Medical Inc), Securities Purchase Agreement (Titan Medical 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 4.4 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 2 contracts

Samples: Securities Purchase Agreement (Aethlon Medical Inc), Securities Purchase Agreement (Composite Technology Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iiiiv) 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 2 contracts

Samples: Securities Purchase Agreement (MAIA Biotechnology, Inc.), Securities Purchase Agreement (MAIA Biotechnology, Inc.)

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

Appears in 2 contracts

Samples: Securities Purchase Agreement (Zivo Bioscience, Inc.), Securities Purchase Agreement (180 Life Sciences Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required filing with the Commission pursuant to Section 4.6 of this Agreement4.6, (ii) 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 Conversion Shares and Warrant Offering Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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: Unit 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) the filings required filing with the Commission pursuant to Section 4.6 of this the Registration Rights Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (Ancora Advisors, LLC), Securities Purchase Agreement (Potbelly Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby (iii) the filing of the Registration Statement with the Commission and (iiiiv) 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 (Truli Media Group, Inc.), Securities Purchase Agreement (Truli Media 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 4.6 filing with the Commission of this one or more Registration Statements in accordance with the requirements Registration Rights Agreement, (ii) the notice and/or application(s) to each applicable the Trading Market on which the Common Stock is listed for the issuance and sale of the Securities and trading for the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby; and (iii) the filing of Form D with the Commission of a Form D and such filings as are required to be made under the applicable state securities laws (collectively, blue sky forms in the “Required Approvals”)relevant states.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Alfacell Corp), Securities Purchase Agreement (Alfacell Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated hereby, other than: (i) the filings filing with the Commission of the final Prospectus as required pursuant to Section 4.6 of this Agreementby Rule 424 under the Securities Act, (ii) the notice and/or application(s) to each applicable the NASDAQ Global Market (the “Trading Market Market”) for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares Securities for trading thereon in the time and manner required thereby and (iii) 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: Selling Agency Agreement (Imperial Garden & Resort, Inc.), Selling Agency Agreement (Imperial Garden & Resort, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and the Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby and (iiiiv) 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 (SenesTech, Inc.), Securities Purchase Agreement (SenesTech, 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 of this Agreement4.6, (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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Cytrx Corp), Securities Purchase Agreement (Cytrx Corp)

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

Appears in 2 contracts

Samples: Securities Purchase Agreement (MICT, Inc.), Securities Purchase Agreement (MICT, 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 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: than (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, if required, and (iiiiv) 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 (Syntax-Brillian Corp), Securities Purchase Agreement (Syntax-Brillian 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 filing with the Commission of this Agreement, one or more Registration Statements in accordance with the requirements Registration Rights Agreement and (ii) the notice and/or application(s) to each applicable the Trading Market on which the Common Stock is listed for the issuance and sale of the Securities and trading for the listing of the Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby which have been made and (iii) obtained prior to 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”)Closing Date.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Zoltek Companies Inc), Securities Purchase Agreement (Zoltek Companies Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares Shares, Warrants and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Tenon Medical, Inc.), Securities Purchase Agreement (Tenon Medical, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) to the extent 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 Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iii) 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 MEDICAL ISOTOPE Corp), Securities Purchase Agreement (ADVANCED MEDICAL ISOTOPE Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Notes and Warrant Shares and the listing of the Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (iHookup Social, Inc.), Securities Purchase Agreement (General Employment 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: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant the Conversion Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (Intercloud Systems, Inc.), Securities Purchase Agreement (Intercloud Systems, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (Four Rivers Bioenergy Inc.), Securities Purchase Agreement (Four Rivers Bioenergy Inc.)

Filings, Consents and Approvals. The Except as set forth on Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (POSITIVEID Corp), Securities Purchase Agreement (Immune Pharmaceuticals Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Common Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (DarioHealth Corp.), Securities Purchase Agreement (DarioHealth Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission pursuant to the Registration Rights Agreement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iiiiv) 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 2 contracts

Samples: Securities Purchase Agreement (Caladrius Biosciences, Inc.), Form of Securities Purchase Agreement (Caladrius 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) than application to the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby [if the Shares on a converted basis will be greater than 10% of the shares of Common Stock outstanding on the Closing Date], and (iii) 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 (Tor Minerals International Inc), Common Stock Purchase Agreement (Tor Minerals International Inc)

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

Appears in 2 contracts

Samples: Securities Purchase Agreement (SELLAS Life Sciences Group, Inc.), Securities Purchase Agreement (Matinas BioPharma Holdings, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated hereby, other than: (i) the filings filing with the Commission of the final Prospectus as required pursuant to Section 4.6 of this Agreementby Rule 424 under the Securities Act, (ii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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: Underwriting Agreement (China Eco-Materials Group Co. LTD), Underwriting Agreement (China Eco-Materials Group Co. LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Brainstorm Cell Therapeutics Inc.), Securities Purchase Agreement (Sorrento 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 this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus Supplement, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementthe Prospectus Supplement, (ii) the notice and/or application(s) to each applicable the Nasdaq Stock Market (the “Trading Market Market”) for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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: Placement Agency Agreement (China Ceramics Co., LTD), Placement Agency Agreement (China Ceramics Co., LTD)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) on or prior to the filings required pursuant to Section 4.6 of this AgreementPublic Company Date, (ii) 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 Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iiiii) 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 (Sigyn Therapeutics, Inc.), Securities Purchase Agreement (Sigyn Therapeutics, Inc.)

Filings, Consents and Approvals. The Except as set forth in Schedule 3.1(e), the Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares, Warrant Shares and Warrant the Additional Investment Right Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Implant Sciences Corp), Securities Purchase Agreement (Implant Sciences Corp)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, , (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (H-Cyte, Inc.), Securities Purchase Agreement (Innoveren Scientific, 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) the filings required pursuant to Section 4.6 by the rules and regulations of this Agreementthe SEC and the filing of Form D with the SEC, (ii) 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 Warrant Shares Securities for trading thereon in the time and manner required thereby thereby, and (iii) 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 (GigOptix, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iiiiv) 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)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Base Prospectus, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementthe Final Prospectus, (ii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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: Placement Agency Agreement (Bio-Path 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 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant the Additional Investment Right Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Active Power Inc)

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Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.5 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iiiiv) the filing of a 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 (Seelos Therapeutics, Inc.)

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

Appears in 1 contract

Samples: Securities Purchase Agreement (WeTrade Group Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the filing with the Commission of the Prospectus Supplement, (iii) notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Nautilus, 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 of this Agreement4.6, (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 the listing of the Conversion Shares and Warrant Penalty Shares for trading thereon in the time and manner required thereby and (iiiiv) 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 (Knobias, Inc.)

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

Appears in 1 contract

Samples: Securities Purchase Agreement (Titan Medical 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 DocumentsAgreement, other than: (i) the filings required pursuant to Section 4.6 9.4 of this Agreement, and (ii) the notice and/or application(s) to each applicable the Nasdaq Stock Market (“Trading Market Market”) for the issuance and sale of the Securities Ordinary Shares and the listing of the Conversion Shares and Warrant such Ordinary Shares for trading thereon in the time and manner required thereby and (iii) 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”). There is no market for the Warrants and the Company does not plan on applying to list the Warrants on any trading system.

Appears in 1 contract

Samples: Subscription Agreement (GLORY STAR NEW MEDIA GROUP 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 filing with the Commission of the Registration Statement, and one or more Forms D with respect to the Shares as required pursuant to Section 4.6 under Regulation D of this Agreementthe Securities Act, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and applicable Blue Sky filings and (iiiii) 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 securities laws (collectively, the “Required Approvals”)laws.

Appears in 1 contract

Samples: Securities Purchase Agreement (Avant Immunotherapeutics Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby and (iii) the filing of a Form D and Form 8-K 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 (Rennova Health, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority Governmental Authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 Sections 4.4 and 4.18 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iiiiv) 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

Samples: Securities Purchase Agreement (electroCore, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Prospectus Supplement, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementthe Prospectus Supplement, (ii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and thereby, (iii) 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 1 contract

Samples: Placement Agency Agreement (Biocept 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 Securities Purchase Agreement, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementa Form D, (ii) 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 Conversion Shares and the Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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: Placement Agency Agreement (Vivos Therapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (Derycz Scientific 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 withwith ("Required Approvals"), 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 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable the Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Steelcloud 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 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Global National Communications Corp.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares and Warrant Conversion Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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: Security Agreement (Amergent Hospitality Group, Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (ECO Building Products, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of this Agreement and the Transaction Documentstransactions contemplated pursuant to the Time of Sale Disclosure Package, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementthe Final Prospectus, (ii) 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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: Placement Agency Agreement (Westwater Resources, Inc.)

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

Appears in 1 contract

Samples: Securities Purchase Agreement (T3 Motion, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.3 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Inspire Veterinary Partners, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (Inspyr Therapeutics, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.3 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Pre-Funded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Versus Systems Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.5 of this Agreement, (ii) the notice and/or application(s) to each applicable Trading Market for the issuance and sale of the Securities Notes and Warrant Shares and the listing of the Conversion Shares and Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (Wally World Media, Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 3.5 of this Agreement, blue sky filings or a Form D filing or (ii) the notice and/or application(s) application to each any applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares Shares, following registration of such shares under the Securities Act, for trading thereon in the time and manner required thereby and (iii) 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 (Integrated Media 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: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (NovaBay Pharmaceuticals, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documentsthis Agreement, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or application(sfiling with the Commission of the Prospectus Supplement, (iii) filings with FINRA, (iv) application to each applicable Trading the Nasdaq Capital Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iiiv) 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 (Englobal Corp)

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

Appears in 1 contract

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

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.13 of this Agreement, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (xG 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 4.6 of this Agreement, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby and thereby, (iiiii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws laws, and (iii) Shareholder Approval (clauses (i), (ii) and (iii) collectively, the “Required Approvals”).

Appears in 1 contract

Samples: Strategic Alliance Agreement (Elite Pharmaceuticals Inc /De/)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction DocumentsCompany, other than: (i) the filings required pursuant to Section 4.6 filing with the Commission of this Agreementa Current Report on Form 8-K, (ii) 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 Warrant Shares for trading thereon in the time and manner required thereby and (iii) the filing of Form D with the Commission and such filings as are required to be made under applicable state securities laws laws, and (iii) application(s) to each applicable Trading Market for the listing of the Shares for trading thereon in the time and manner required thereby, (collectively, the “Required Approvals”).

Appears in 1 contract

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

Filings, Consents and Approvals. The Company and each Subsidiary 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 provincial or foreign, domestic federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, all of which shall have been effectuated prior to the Closing, and (iii) 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 (Conversion Labs, Inc.)

Filings, Consents and Approvals. The Company and each Subsidiary 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 provincial or foreign or domestic federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant Underlying Shares for trading thereon in the time and manner required thereby thereby, all of which shall have been effectuated prior to the Closing, and (iii) 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 (Uppercut Brands, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: than (i) the filings required pursuant to Section 4.6 4.4 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 Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (Logistical Support, Inc)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Warrant the Closing Shares for trading thereon in the time and manner required thereby thereby, and (iii) 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 (ComSovereign Holding Corp.)

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

Appears in 1 contract

Samples: Securities Purchase Agreement (Immune Pharmaceuticals Inc)

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

Appears in 1 contract

Samples: Securities Purchase Agreement (SELLAS Life Sciences Group, Inc.)

Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents, other than: (i) the filings required pursuant to Section 4.6 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Prospectus Supplement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Prefunded Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (JanOne 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 4.4 of this Agreement, (ii) the notice and/or filing with the Commission of the Registration Statement, (iii) application(s) to each applicable Trading Market for the issuance and sale of the Securities and the listing of the Conversion Shares and Warrant Shares for trading thereon in the time and manner required thereby thereby, and (iiiiv) 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 (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: (i) the filings required pursuant to Section 4.6 of this Agreement, (ii) 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 Underlying Shares and Warrant Shares for trading thereon in the time and manner required thereby and (iii) 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 (University General Health System, Inc.)

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