FINRA Matters. Except as disclosed in the Registration Statement, neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws of FINRA) of, any person that is a member of FINRA (a “FINRA Member”).
Appears in 14 contracts
Samples: Underwriting Agreement (Roth CH Acquisition IV Co.), Underwriting Agreement (Roth CH Acquisition III Co), Underwriting Agreement (Roth CH Acquisition v Co.)
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws laws of FINRA) of, any person that is a member of FINRA (a “FINRA Member”), other than as described on Schedule D hereof.
Appears in 8 contracts
Samples: Underwriting Agreement (Monocle Acquisition Corp), Underwriting Agreement (Monocle Acquisition Corp), Underwriting Agreement (Monocle Acquisition Corp)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentatives, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (ff) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 6 contracts
Samples: Underwriting Agreement (Arqule Inc), Underwriting Agreement (Arqule Inc), Underwriting Agreement (Nupathe Inc.)
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Praxis Precision Medicines, Inc.), Underwriting Agreement (Praxis Precision Medicines, Inc.), Underwriting Agreement (Praxis Precision Medicines, Inc.)
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any subsidiary nor any of its their affiliates (within the meaning of FINRA FINRA’s NASD Conduct Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1 (ee) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 3 contracts
Samples: Equity Distribution Agreement (Mitcham Industries Inc), Equity Distribution Agreement (Mitcham Industries Inc), Mind Technology, Inc
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentatives, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(15121(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (rr) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Ventrus Biosciences Inc), Underwriting Agreement (Ventrus Biosciences Inc), Underwriting Agreement (Transcept Pharmaceuticals Inc)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentatives, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(15121(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I1, Section 1(eeparagraph (ff) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Aegerion Pharmaceuticals, Inc.), Underwriting Agreement (Aegerion Pharmaceuticals, Inc.)
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws of FINRAFINRA Rule 5121(f)) of, any person that is a member of FINRA (a “FINRA Member”).
Appears in 2 contracts
Samples: Underwriting Agreement (Panacea Acquisition Corp. II), Underwriting Agreement (Panacea Acquisition Corp. II)
FINRA Matters. Except as disclosed in the Registration Statementwriting to Leerink Xxxxx, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (ff) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Zymogenetics Inc), Underwriting Agreement (Momenta Pharmaceuticals Inc)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentative, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (ff) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Chelsea Therapeutics International, Ltd.), Underwriting Agreement (Cyclacel Pharmaceuticals, Inc.)
FINRA Matters. Except as disclosed in the Registration Statementwriting to Leerink Xxxxx, neither the Company nor nor, to the Company’s knowledge, the Company’s officers, directors, securityholders or any of its affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(b)(1)(a)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1(dd) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Purchase Agreement (Orexigen Therapeutics, Inc.), Purchase Agreement (Orexigen Therapeutics, Inc.)
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(15121(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (rr) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Underwriting Agreement (Ventrus Biosciences Inc), Ventrus Biosciences Inc
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws of FINRA) of, any person that is a member of FINRA (a “FINRA Member”), other than as described on Schedule D hereto.
Appears in 2 contracts
Samples: Underwriting Agreement (Andina Acquisition Corp. III), Underwriting Agreement (Andina Acquisition Corp. III)
FINRA Matters. Except as disclosed in the Registration Statementwriting to Mxxxxxx Lxxxx, neither the Company nor nor, to the Company’s knowledge, the Company’s officers, directors, securityholders or any of its affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(b)(1)(a)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1(dd) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 2 contracts
Samples: Purchase Agreement (Orexigen Therapeutics, Inc.), Purchase Agreement (Orexigen Therapeutics, Inc.)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentatives, neither the Company nor nor, to the Company’s knowledge, the Company’s officers, directors, securityholders or any of its affiliates (within the meaning of FINRA Conduct Rule 5121(f)(12720(b)(1)(a)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee1(dd) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Orexigen Therapeutics, Inc.)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentatives, neither the Company nor any nor, to the Company’s knowledge, the Company’s officers, directors or, to the knowledge of its the Company, affiliates (within the meaning of FINRA Conduct Rule 5121(f)(15121(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I1, Section 1(eeparagraph (ff) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 1 contract
Samples: Underwriting Agreement (Aegerion Pharmaceuticals, Inc.)
FINRA Matters. Except as disclosed in writing to the Registration StatementRepresentative, neither the Company nor any of its nor, to the Company’s knowledge, the Company’s officers, directors or affiliates (within the meaning of FINRA Conduct Rule 5121(f)(15121(f)) ), directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(eeparagraph (rr) of the By-Laws laws of FINRA) of, of any person that is a member firm of FINRA (a “FINRA Member”)FINRA.
Appears in 1 contract
FINRA Matters. Except as disclosed in the Registration Statement, neither Neither the Company nor nor, to the Company’s knowledge, any of its affiliates (within the meaning of FINRA Rule 5121(f)(1)5121(f) directly or indirectly controls, is controlled by, or is under common control with, or is an associated person (within the meaning of Article I, Section 1(ee) of the By-Laws laws of FINRA) of, any person that is a member firm of FINRA (a “FINRA Member”).FINRA
Appears in 1 contract
Samples: Sales Agreement (Oncothyreon Inc.)
