FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 176 contracts
Samples: Underwriting Agreement (East Stone Acquisition Corp), Underwriting Agreement (Fellazo Inc.), Underwriting Agreement (Good Works II Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 63 contracts
Samples: Underwriting Agreement (Chardan NexTech Acquisition 2 Corp.), Underwriting Agreement (Gardiner Healthcare Acquisitions Corp.), Underwriting Agreement (Staccato Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 39 contracts
Samples: Underwriting Agreement (Bayview Acquisition Corp), Underwriting Agreement (Kairous Acquisition Corp. LTD), Underwriting Agreement (JVSPAC Acquisition Corp.)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 38 contracts
Samples: Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (On Track Innovations LTD), Underwriting Agreement (Selway Capital Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 19 contracts
Samples: Underwriting Agreement (Chardan 2008 China Acquisition Corp.), Underwriting Agreement (Hambrecht Asia Acquisition Corp.), Underwriting Agreement (Universal Business Payment Solutions Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 9 contracts
Samples: Underwriting Agreement (New Asia Partners China I Corp), Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China I Corp)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public SecuritiesParticipating Member.
Appears in 8 contracts
Samples: Underwriting Agreement (Aquarius I Acquisition Corp.), Underwriting Agreement (Zi Toprun Acquisition Corp.), Underwriting Agreement (Aurora Technology Acquisition Corp.)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Warrant Agreement (Asia Special Situation Acquisition Corp), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.)
FINRA. The Company shall advise FINRA if it is aware that any 510% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating Participating Member in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (OceanTech Acquisitions I Corp.), Underwriting Agreement (OceanTech Acquisitions I Corp.), Underwriting Agreement (Oxbridge Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (S.E. Asia Emerging Market Company., LTD), Underwriting Agreement (57th Street General Acquisition Corp), Underwriting Agreement (57th Street General Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Arcade China Acquisition Corp), Underwriting Agreement (Arcade China Acquisition Corp), Underwriting Agreement (Pacific Monument Acquisition Corp)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities, except as may be disclosed in the Registration Statement, Statutory Prospectus and Prospectus.
Appears in 6 contracts
Samples: Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp II), Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp), Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp II)
FINRA. The Company shall advise FINRA the Representative if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Andina Acquisition Corp), Underwriting Agreement (Andina Acquisition Corp), Underwriting Agreement (Andina Acquisition Corp)
FINRA. The Company shall advise the Representative and FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Garnero Group Acquisition Co), Underwriting Agreement (Andina Acquisition Corp. II)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD), Underwriting Agreement (Sunity Online Entertainment LTD)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Prime Acquisition Corp), Underwriting Agreement (Prime Acquisition Corp), Underwriting Agreement (Prime Acquisition Corp)
FINRA. The Company shall promptly advise FINRA the Representatives if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesUnits, so that the Representatives may, if so required, provide such documentation to FINRA.
Appears in 3 contracts
Samples: Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesShares.
Appears in 2 contracts
Samples: Underwriting Agreement (Southern China Livestock, Inc.), Underwriting Agreement (China Intelligent Lighting & Electronics, Inc.)
FINRA. The Company shall advise FINRA the Representatives (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company (other than Xxxxxxx X. Xxxxxxxxx) becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Ventrus Biosciences Inc), Underwriting Agreement (Ventrus Biosciences Inc)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (BBV Vietnam S.E.A. Acquisition Corp.), Underwriting Agreement (BBV Vietnam S.E.A. Acquisition Corp.)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesFirm Shares.
Appears in 2 contracts
Samples: Underwriting Agreement (Tantech Holdings LTD), Underwriting Agreement (Tantech Holdings LTD)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) and the QIU if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Pulse Biosciences, Inc.), Underwriting Agreement (Pulse Biosciences, Inc.)
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public SecuritiesParticipating Member.
Appears in 2 contracts
Samples: Underwriting Agreement (Tribe Capital Growth Corp I), Underwriting Agreement (Tribe Capital Growth Corp I)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities., except as may be disclosed in the Registration Statement, Statutory Prospectus and Prospectus. Broadband Capital Management LLC. ____________, 2011
Appears in 1 contract
Samples: Underwriting Agreement (COMMITTED CAPITAL ACQUISITION Corp)
FINRA. The Company shall advise the FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s 's Public Securities.
Appears in 1 contract
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s 's Public Securities.
Appears in 1 contract
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.. 27787721v.1
Appears in 1 contract
Samples: Underwriting Agreement (Achari Ventures Holdings Corp. I)
FINRA. The Company shall advise FINRA the Representative if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.
Appears in 1 contract
Samples: Underwriting Agreement (Hf2 Financial Management Inc.)
FINRA. The Company shall promptly advise FINRA the Representative if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesUnits, so that the Representative may, if so required, provide such documentation to FINRA.
Appears in 1 contract
FINRA. The Company shall advise FINRA the Representative (who shall make an appropriate filing with FINRA) and the QIU if it is becomes aware that any 5% or greater shareholder stockholder of the Company becomes an affiliate or associated person of a an FINRA member participating in the distribution of the Company’s Public SecuritiesShares.
Appears in 1 contract
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.. Broadband Capital Management LLC _________ __, 2008
Appears in 1 contract
Samples: Underwriting Agreement (Korea Milestone Acquisition CORP)
FINRA. The Company shall advise FINRA if it is aware that any 5% or greater shareholder of the Company becomes an affiliate or associated person of a FINRA member participating in the distribution of the Company’s Public Securities.. EarlyBirdCapital, Inc. July 19, 2012 Page 27 of 45
Appears in 1 contract
Samples: Underwriting Agreement (Infinity Cross Border Acquisition Corp)
