FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 17 contracts
Samples: Underwriting Agreement (GP-Act III Acquisition Corp.), Underwriting Agreement (10X Capital Venture Acquisition Corp. II), Underwriting Agreement (BioPlus Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 12 contracts
Samples: Underwriting Agreement (HighCape Capital Acquisition Corp.), Underwriting Agreement (Fusion Acquisition Corp.), Underwriting Agreement (Fusion Acquisition Corp. II)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S K&E if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 8 contracts
Samples: Underwriting Agreement (Golden Arrow Merger Corp.), Underwriting Agreement (Alussa Energy Acquisition Corp.), Underwriting Agreement (Zanite Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S Xxxxxxxx if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 7 contracts
Samples: Warrant Agreement (SHUAA Partners Acquisition Corp I), Underwriting Agreement (Israel Acquisitions Corp), Underwriting Agreement (Colombier Acquisition Corp. Ii)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA)Member. The Company will advise the Representative and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 7 contracts
Samples: Underwriting Agreement (Direct Selling Acquisition Corp.), Underwriting Agreement (Innovative International Acquisition Corp.), Underwriting Agreement (Direct Selling Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) ), or any affiliate of the Company, has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S if it learns that any officer or director or any direct or indirect beneficial owner or affiliate of the Company (including the Insidersany Insider) is or becomes an affiliate or associated person of a Participating Member.
Appears in 5 contracts
Samples: Underwriting Agreement (Thrive Acquisition Corp), Underwriting Agreement (Banyan Acquisition Corp), Underwriting Agreement (Banyan Acquisition Corp)
FINRA Affiliation. No Other than as disclosed to the Representative, no officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA)FINRA Member. The Company will advise the Representative and EG&S EGS if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating FINRA Member.
Appears in 4 contracts
Samples: Underwriting Agreement (Eureka Acquisition Corp), Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (IB Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 3 contracts
Samples: Underwriting Agreement (Endeavor Acquisition Corp.), Underwriting Agreement (EVe Mobility Acquisition Corp), Underwriting Agreement (EVe Mobility Acquisition Corp)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA)) participating in the Offering. The Company will advise the Representative and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering within 90 days from the consummation of the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (10X Capital Venture Acquisition Corp), Underwriting Agreement (10X Capital Venture Acquisition Corp), Underwriting Agreement (10X Capital Venture Acquisition Corp)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S EGS if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 3 contracts
Samples: Underwriting Agreement (Insight Acquisition Corp. /DE), Underwriting Agreement (Insight Acquisition Corp. /DE), Underwriting Agreement (Insight Acquisition Corp. /DE)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S L&W if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 3 contracts
Samples: Underwriting Agreement (Hawks Acquisition Corp), Underwriting Agreement (Hawks Acquisition Corp), Underwriting Agreement (Hawks Acquisition Corp)
FINRA Affiliation. No officer Officer or director Director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S ML if it learns that any officer or officer, director or owner of at least 5% of the Company’s outstanding Ordinary Shares (or securities convertible into Ordinary Shares) (any direct such individual or indirect beneficial owner (including the Insidersentity, a “Company Affiliate”) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 3 contracts
Samples: Underwriting Agreement (BGS Acquisition Corp.), Underwriting Agreement (BGS Acquisition Corp.), Underwriting Agreement (BGS Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S W&C if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Virtuoso Acquisition Corp.), Underwriting Agreement (Virtuoso Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S K&E if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Trine Acquisition Corp.), Underwriting Agreement (Trine Acquisition Corp.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Pivotal Investment Corp II), Underwriting Agreement (Pivotal Investment Corp II)
FINRA Affiliation. No Other than as disclosed to the Representative, no officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA)Member. The Company will advise the Representative and EG&S EGS if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 2 contracts
Samples: Underwriting Agreement (NorthView Acquisition Corp), Underwriting Agreement (NorthView Acquisition Corp)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S W&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Mudrick Capital Acquisition Corp), Underwriting Agreement (Mudrick Capital Acquisition Corp)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S W&C if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Malacca Straits Acquisition Co LTD), Underwriting Agreement (Malacca Straits Acquisition Co LTD)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member FINRA member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S GM if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating MemberFINRA member participating in the Offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Thunder Bridge Acquisition LTD), Underwriting Agreement (Thunder Bridge Acquisition LTD)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA)Member. The Company will advise the Representative and EG&S EGS if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 2 contracts
Samples: Underwriting Agreement (Rose Hill Acquisition Corp), Underwriting Agreement (Rose Hill Acquisition Corp)
FINRA Affiliation. No Other than as disclosed in the Questionnaires provided to the Representative, no officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA)Member. The Company will advise the Representative Representatives and EG&S if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 2 contracts
Samples: Underwriting Agreement (Blockchain Coinvestors Acquisition Corp. I), Underwriting Agreement (Blockchain Coinvestors Acquisition Corp. I)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) ), or any affiliate of the Company, has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives and EG&S if it learns that any officer or director or any direct or indirect beneficial owner or affiliate of the Company (including the Insidersany Insider) is or becomes an affiliate or associated person of a Participating Member.
Appears in 1 contract
Samples: Underwriting Agreement (Counter Press Acquisition Corp)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S K&E if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 1 contract
Samples: Underwriting Agreement (Consilium Acquisition Corp I, Ltd.)
FINRA Affiliation. No officer or director or any direct or indirect beneficial owner (including the Insiders) of any class of the Company’s unregistered securities (whether debt or equity, registered or unregistered, regardless of the time acquired or the source from which derived) has any direct or indirect affiliation or association with any Participating Member (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative and EG&S Lxxx if it learns that any officer or director or any direct or indirect beneficial owner (including the Insiders) is or becomes an affiliate or associated person of a Participating Member.
Appears in 1 contract
