FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 38 contracts
Samples: Sales Agreement (Cabaletta Bio, Inc.), Sales Agreement (G1 Therapeutics, Inc.), Sales Agreement (G1 Therapeutics, Inc.)
FINRA Exemption. To enable Xxxxx the Agent to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 6 contracts
Samples: Terms Agreement (Inovio Pharmaceuticals, Inc.), Terms Agreement (Inovio Pharmaceuticals, Inc.), Terms Agreement (Sientra, Inc.)
FINRA Exemption. To enable Xxxxx the Agent to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(C) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 2 contracts
Samples: Terms Agreement (Pulse Biosciences, Inc.), Audioeye Inc
FINRA Exemption. To enable Xxxxx the Agents to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange 1934 Act reporting requirements for a period of at least 36 months.
Appears in 2 contracts
Samples: Terms Agreement (Gladstone Commercial Corp), Terms Agreement (Gladstone Commercial Corp)
FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the The Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 2 contracts
Samples: Market Issuance Sales Agreement (Geron Corp), Geron Corp
FINRA Exemption. To enable Xxxxx Cxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 2 contracts
Samples: Stock Sales Agreement (Corindus Vascular Robotics, Inc.), Sales Agreement (Raptor Pharmaceutical Corp)
FINRA Exemption. To enable Xxxxx the Representatives and the Underwriters to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: Five Prime Therapeutics, Inc.
FINRA Exemption. To enable Xxxxx the Representatives to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(C) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(C) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: DermTech, Inc.
FINRA Exemption. To enable Xxxxx the Agent to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(c) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: Ligand Pharmaceuticals Inc
FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that as of November 1, 2019, the Company (i) has had a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has had been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: Adamas Pharmaceuticals Inc
FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that as of the date hereof, the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: Common Stock (Recro Pharma, Inc.)
FINRA Exemption. To enable XX Xxxxx to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(C) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
FINRA Exemption. To enable Xxxxx the Agents to rely on Rule 5110(b)(7)(C)(i5110(h)(1)(C) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
FINRA Exemption. To The Company represents that within the applicable time period to enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has had a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has had been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
Samples: Sales Agreement (Invivo Therapeutics Holdings Corp.)
FINRA Exemption. To enable Xxxxx Cxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 thirty six (36) months.
Appears in 1 contract
FINRA Exemption. To enable Xxxxx to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 monthsshares.
Appears in 1 contract
FINRA Exemption. To enable Xxxxx the Representatives to rely on Rule 5110(b)(7)(C)(i) of FINRA, the Company represents that the Company (i) has a non-affiliate, public common equity float of at least $150 million or a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) has been subject to the Exchange Act reporting requirements for a period of at least 36 months.
Appears in 1 contract
