Common use of FINRA Exemption Clause in Contracts

FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with the offering contemplated thereby (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include (i) having 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) having been subject to the 1934 Act reporting requirements for a period of 36 months).

Appears in 6 contracts

Samples: Underwriting Agreement (SharpSpring, Inc.), Underwriting Agreement (SharpSpring, Inc.), Underwriting Agreement (Helios & Matheson Analytics Inc.)

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FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with the offering and sale of the Offered Securities contemplated thereby hereby (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include (i) having 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) having been subject to the 1934 Exchange Act reporting requirements for a period of 36 months).

Appears in 3 contracts

Samples: Equity Distribution Agreement (GenMark Diagnostics, Inc.), Equity Distribution Agreement (GenMark Diagnostics, Inc.), Equity Distribution Agreement (GenMark Diagnostics, Inc.)

FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with the offering Offering contemplated thereby (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include (i) having 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) having been subject to the 1934 Exchange Act reporting requirements for a period of 36 months).

Appears in 3 contracts

Samples: Underwriting Agreement (Achillion Pharmaceuticals Inc), Underwriting Agreement (Achillion Pharmaceuticals Inc), Underwriting Agreement (Achillion Pharmaceuticals Inc)

FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with the offering contemplated thereby (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include (i) having 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) having been subject to the 1934 Exchange Act reporting requirements for a period of 36 months).

Appears in 3 contracts

Samples: Purchase Agreement (CONTRAFECT Corp), Helios And (Helios & Matheson Analytics Inc.), Underwriting Agreement (Synacor, Inc.)

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FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with the offering and sale of the Shares contemplated thereby hereby (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include (i) having 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) having been subject to the 1934 Exchange Act reporting requirements for a period of 36 months).

Appears in 1 contract

Samples: Equity Distribution Agreement (VBI Vaccines Inc/Bc)

FINRA Exemption. The Company satisfies the pre-1992 eligibility requirements for the use of a registration statement on Form S-3 in connection with pursuant to the offering contemplated thereby standards for that form prior to October 21, 1992 (the pre-1992 eligibility requirements for the use of the registration statement on Form S-3 include including (ii)(A) having a non-affiliate, public common equity float of at least $150 million or (B) having a non-affiliate, public common equity float of at least $100 million and annual trading volume of at least three million shares and (ii) having been subject to the 1934 Exchange Act reporting requirements for a period of at least 36 months)) in connection with the offering and sale of the Shares contemplated hereby.

Appears in 1 contract

Samples: Underwriting Agreement (Iridex Corp)

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