Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 20 contracts
Samples: Underwriting Agreement (Global Services Partners Acquisition Corp.), Underwriting Agreement (Israel Growth Partners Acquisition Corp.), Underwriting Agreement (Stoneleigh Partners Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 19 contracts
Samples: Underwriting Agreement (Rand Acquisition Corp. II), Underwriting Agreement (Rand Acquisition Corp. II), Underwriting Agreement (Rand Acquisition Corp. II)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 15 contracts
Samples: Warrant Agreement (Cea Acquisition Corp), Underwriting Agreement (Millstream Acquisition Corp), Underwriting Agreement (Millstream Acquisition Corp)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 12 contracts
Samples: Underwriting Agreement (Pharmamatrix Acquisition CORP), Underwriting Agreement (Stone Arcade Acquisition CORP), Underwriting Agreement (Stone Arcade Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringmember.
Appears in 11 contracts
Samples: Underwriting Agreement (Renaissance Acquisition Corp.), Underwriting Agreement (Renaissance Acquisition Corp.), Underwriting Agreement (Renaissance Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 10 contracts
Samples: Underwriting Agreement (Union Street Acquisition Corp.), Purchase Agreement (Catalytic Capital Investment Corp), Underwriting Agreement (Transforma Acquisition Group Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities shares of Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 9 contracts
Samples: Underwriting Agreement (InterAmerican Acquisition Group Inc), Underwriting Agreement (InterAmerican Acquisition Group Inc), Underwriting Agreement (InterAmerican Acquisition Group Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Ordinary Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 6 contracts
Samples: Underwriting Agreement (China Discovery Acquisition Corp.), Underwriting Agreement (China Fortune Acquisition Corp.), Underwriting Agreement (China Discovery Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringmember.
Appears in 6 contracts
Samples: Underwriting Agreement (Taliera CORP), Underwriting Agreement (Taliera CORP), Underwriting Agreement (Taliera CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 5 contracts
Samples: Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Everest Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no No officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member, as determined in accordance with the rules and regulations of the NASD. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 5 contracts
Samples: Underwriting Agreement (Camden Learning CORP), Underwriting Agreement (Camden Learning CORP), Underwriting Agreement (Camden Learning CORP)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 5 contracts
Samples: Underwriting Agreement (Industrial Services Acquisition Corp.), Underwriting Agreement (Shine Media Acquisition Corp.), Underwriting Agreement (Ad.Venture Partners, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities shares of Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 5 contracts
Samples: Underwriting Agreement (Asia Automotive Acquisition Corp.), Underwriting Agreement (Asia Automotive Acquisition Corp.), Underwriting Agreement (Asia Automotive Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if prior to the Effective Date, it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, officer or director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 4 contracts
Samples: Underwriting Agreement (Oracle Healthcare Acquisition Corp.), Underwriting Agreement (Acquicor Technology Inc), Underwriting Agreement (Acquicor Technology Inc)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 4 contracts
Samples: Warrant Agreement (Treehouse Partners CORP), Underwriting Agreement (MDC Acquisition Partners, Inc.), Underwriting Agreement (Ad.Venture Partners, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringmember.
Appears in 4 contracts
Samples: Underwriting Agreement (Endeavor Acquisition Corp.), Underwriting Agreement (Endeavor Acquisition Corp.), Underwriting Agreement (Columbus Acquisition Corp)
Insiders’ NASD Affiliation. Based on questionnaires distributed to received from such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Symmetry Holdings Inc), Underwriting Agreement (Platform Acquisition Corp. International), Underwriting Agreement (Symmetry Holdings Inc)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of 5% or more of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Fortress America Acquisition CORP), Underwriting Agreement (Fortress America Acquisition CORP), Underwriting Agreement (Fortress America Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities shares of Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Argyle Security Acquisition CORP), Underwriting Agreement (Argyle Security Acquisition CORP), Underwriting Agreement (Argyle Security Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officerOfficer, director Director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 4 contracts
Samples: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Juniper Partners Acquisition Corp.), Underwriting Agreement (Juniper Partners Acquisition Corp.), Underwriting Agreement (Juniper Partners Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Ascend Acquisition Corp.), Underwriting Agreement (Ascend Acquisition Corp.), Underwriting Agreement (Ascend Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (QuadraPoint Acquisition Corp.), Underwriting Agreement (Alyst Acquisition Corp.), Underwriting Agreement (Alyst Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.43.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 3 contracts
Samples: Underwriting Agreement (Highbury Financial Inc), Underwriting Agreement (Highbury Financial Inc), Underwriting Agreement (Highbury Financial Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member, as determined in accordance with the rules and regulations of the NASD. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringmember.
Appears in 3 contracts
Samples: Underwriting Agreement (Stone Tan China Acquisition Corp.), Underwriting Agreement (Stone Tan China Acquisition Corp.), Underwriting Agreement (Stone Tan China Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Chardan China Acquisition Corp), Underwriting Agreement (Chardan China Acquisition Corp), Underwriting Agreement (Chardan China Acquisition Corp)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, No officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriters and its counsel the NASD if it learns that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities Company is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Infodata Systems Inc), Underwriting Agreement (Infodata Systems Inc), Underwriting Agreement (Take to Auction Com Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if prior to the Effective Date, it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Warrant Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Xxxxxx and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities shares of Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 3 contracts
Samples: Underwriting Agreement (Vector Intersect Security Acquisition Corp.), Underwriting Agreement (Vector Intersect Security Acquisition Corp.), Underwriting Agreement (Argyle Security Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Services Acquisition Corp. International), Underwriting Agreement (Services Acquisition Corp. International)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except other than as set forth on in Schedule 2.18.4[l], no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Healthcare Acquisition Partners Corp.), Underwriting Agreement (Healthcare Acquisition Partners Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Representatives and its their counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (General Finance CORP), Underwriting Agreement (General Finance CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Fortissimo Acquisition Corp.), Underwriting Agreement (Fortissimo Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringoffering prior to the Closing Date.
Appears in 2 contracts
Samples: Underwriting Agreement (General Finance CORP), Underwriting Agreement (General Finance CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringmember.
Appears in 2 contracts
Samples: Underwriting Agreement (Millennium India Acquisition CO Inc.), Underwriting Agreement (Millennium India Acquisition CO Inc.)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 2 contracts
Samples: Underwriting Agreement (Global Technology Industries, Inc.), Underwriting Agreement (Global Technology Industries, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4III, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Viragen Inc), Underwriting Agreement (Viragen Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Representatives and its their counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Confluence Acquisition Partners I, Inc.), Underwriting Agreement (Confluence Acquisition Partners I, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.4, no officer, officer or director of the Company or any beneficial owner of at least 5% of the Company’s unregistered securities 's outstanding Common Shares has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel the NASD if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Cpi Aerostructures Inc), Underwriting Agreement (Cpi Aerostructures Inc)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 2 contracts
Samples: Underwriting Agreement (Federal Services Acquisition CORP), Underwriting Agreement (Federal Services Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (International Shipping Enterprises, Inc.), Underwriting Agreement (International Shipping Enterprises, Inc.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (China Unistone Acquisition CORP), Underwriting Agreement (China Unistone Acquisition CORP)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if prior to the Effective Date, it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Lumax Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4other than Xxxxx X. Xxxxxx, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Representatives and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 2 contracts
Samples: Underwriting Agreement (Platinum Energy Resources Inc), Underwriting Agreement (Platinum Energy Resources Inc)
Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.42.17.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 1 contract
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except Except as set forth on Schedule SCHEDULE 2.18.4, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriters and its counsel the NASD if it learns that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities Company is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 1 contract
Samples: Underwriting Agreement (Objective Communications Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4other than James E. Bashaw, no officer, director or any beneficial owner of the Company’s unregistered Xxxxxxx'x xxxxxistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 1 contract
Samples: Underwriting Agreement (Platinum Energy Resources Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member, as determined in accordance with the rules and regulations of the NASD. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 1 contract
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, No officer or director of the -------------------------- Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member, except as provided on Schedule 2.19.4 attached hereto. The Company will advise the Representative Underwriter and its counsel the NASD if it learns that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities Company is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 1 contract
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.4SCHEDULE 2.23, to the Company's knowledge, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Placement Agent and its counsel the NASD if it learns becomes aware that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities Company is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
Appears in 1 contract
Samples: Agency Agreement (Video Network Communications Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such personsthe Questionnaires, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the each Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
Appears in 1 contract
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except Except as set forth on Schedule 2.18.42.23, to the Company's knowledge, no officer, officer or director of the Company or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Placement Agent and its counsel the NASD if it learns becomes aware that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities Company is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
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Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities (collectively, "Company Affiliates") has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s 's outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
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Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4IV, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offering.
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Samples: Underwriting Agreement (Viragen Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed to received from such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities securities, except for Xxxxxx X. Xxxxxx, Xx., has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
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Insiders’ NASD Affiliation. Based on questionnaires the Questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Underwriter and its counsel if it learns that any officer, officer or director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
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Samples: Underwriting Agreement (Oracle Healthcare Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4the Questionnaires, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member, as determined in accordance with the rules and regulations of the NASD. The Company will advise the Representative and its counsel if it learns that any officer, director or beneficial owner (direct or indirect) of at least 5% or more of the Company’s outstanding securities Common Stock is or becomes an affiliate or associated person of an NASD member participating in the offeringOffering.
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Samples: Underwriting Agreement (Stone Tan China Acquisition Corp.)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4, no officer, director or any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities is or becomes an affiliate or associated person of an NASD member participating in the offering.
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Samples: Underwriting Agreement (Millstream Acquisition Corp)
Insiders’ NASD Affiliation. Based on questionnaires distributed to such persons, except as set forth on Schedule 2.18.4other than Xxxxx X. Xxxxxx, no officer, director or any beneficial owner of the Company’s unregistered securities has any direct or indirect affiliation or association with any NASD member. The Company will advise the Representative Representatives and its counsel if it learns that any officer, director or owner of at least 5% of the Company’s outstanding securities Common Shares is or becomes an affiliate or associated person of an NASD member participating in the offering.
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Samples: Underwriting Agreement (Platinum Energy Resources Inc)
Insiders’ NASD Affiliation. Based on questionnaires distributed No officer or director of the Company or, to such personsthe Company's knowledge, except as set forth on Schedule 2.18.4, no officer, director or owner of any beneficial owner of the Company’s 's unregistered securities has any direct or indirect affiliation or association with any NASD member, other than Xxxxxx Xxxxxxx and Xxx Xxxxxxx. The Company will advise the Representative and its counsel the NASD if it learns that any officer, director or owner of at least 5% stockholder of the Company’s outstanding securities is Company becomes, directly or becomes indirectly, an affiliate or associated person of an NASD member participating in the offering.
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