Common use of Listing and Maintenance Requirements; DTC Eligibility Clause in Contracts

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Company has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market. Except as disclosed in the Commission Documents, the Company is in compliance with all such listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 4 contracts

Samples: Common Stock Purchase Agreement (Mullen Automotive Inc.), Common Stock Purchase Agreement (Annovis Bio, Inc.), Common Stock Purchase Agreement (Navidea Biopharmaceuticals, Inc.)

AutoNDA by SimpleDocs

Listing and Maintenance Requirements; DTC Eligibility. The As of the Closing Date, the Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission DocumentsClosing Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market or Eligible Market, as applicable. As of the Trading Market. Except as disclosed in the Commission DocumentsClosing Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred transfer electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 4 contracts

Samples: Common Stock Purchase Agreement (MMTec, Inc.), Common Stock Purchase Agreement (MMTec, Inc.), Common Stock Purchase Agreement (Nikola Corp)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Company has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market. Except as disclosed in the Commission Documents, the Company is in compliance with all such listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 4 contracts

Samples: Common Stock Purchase Agreement (Ashford Hospitality Trust Inc), Common Stock Purchase Agreement (Ashford Hospitality Trust Inc), Common Stock Purchase Agreement (Ashford Hospitality Trust Inc)

Listing and Maintenance Requirements; DTC Eligibility. The As of the date of this Agreement and the Closing Date, the Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission Documentsdate of this Agreement and the Closing Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market or Eligible Market, as applicable. As of the Trading Market. Except as disclosed in the Commission DocumentsClosing Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 3 contracts

Samples: Common Stock Purchase Agreement (Cinedigm Corp.), Common Stock Purchase Agreement (Biohitech Global, Inc.), Common Stock Purchase Agreement (Adial Pharmaceuticals, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the The Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from any Person the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). Except as disclosed in the Commission DocumentsDocuments filed with the Commission since the Business Combination Date, the Company is in compliance with all such applicable listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received written notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (GCT Semiconductor Holding, Inc.), Common Stock Purchase Agreement (Spectral AI, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the The Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from any Person the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). Except as disclosed in the Commission Documents, the Company is in compliance with all such applicable listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received written notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Mobix Labs, Inc), Common Stock Purchase Agreement (Monogram Orthopaedics Inc)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is Shares are registered pursuant to Section 12(b) of the Exchange Act, and the Company Corporation has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock Shares pursuant to the Exchange Act nor has the Company Corporation received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Company Corporation has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Company Corporation is not in compliance with the listing or maintenance requirements of the Trading MarketNasdaq Capital Market or the TSX. Except as disclosed in the Commission Documents, the Company Corporation is in compliance with all such listing and maintenance requirements of the Trading MarketNasdaq Capital Market and of the TSX. The Common Stock is Shares are eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC delivery system. The Company Corporation has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common StockShares, electronic trading or book-entry services by DTC with respect to the Common Stock Shares is being imposed or is contemplated.

Appears in 2 contracts

Samples: Subscription Agreement (Aptose Biosciences Inc.), Aptose Biosciences Inc.

Listing and Maintenance Requirements; DTC Eligibility. The As of the Closing Date, the Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. Except as disclosed set forth in the Filed Commission SEC Documents, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of the such Trading Market or Eligible Market, as applicable. Except as disclosed set forth in the Commission SEC Documents, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 2 contracts

Samples: Common Stock Purchase Agreement (Expion360 Inc.), Common Stock Purchase Agreement (Interactive Strength, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as otherwise disclosed in the Filed Commission Documents, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from any Person the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). Except as disclosed in the Commission Documents, the Company is in compliance with all such applicable listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received written notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (MultiSensor AI Holdings, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The As of the date of Closing Date, the Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission DocumentsClosing Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market or Eligible Market, as applicable. As of the Trading Market. Except as disclosed in the Commission DocumentsClosing Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Gaucho Group Holdings, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The As of the Closing Date, the Class A Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the such Class A Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed set forth in the Filed Commission Documents, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Class A Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of the such Trading Market or Eligible Market, as applicable. Except as disclosed set forth in the Commission Documents, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Class A Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Class A Common Stock, electronic trading or book-entry services by DTC with respect to the Class A Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Inspire Veterinary Partners, Inc.)

AutoNDA by SimpleDocs

Listing and Maintenance Requirements; DTC Eligibility. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission DocumentsCommencement Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market or Eligible Market, as applicable. As of the Trading Market. Except as disclosed in the Commission DocumentsCommencement Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (CV Sciences, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is Shares are registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock Shares pursuant to the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the Company has not, in the twelve (12) months preceding the date hereof, received any written notice from any Person to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market. Except as disclosed in the Commission Documents, the Company is in compliance with all such listing and maintenance requirements of the Trading Market. The Common Stock is Shares are eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common StockShares, electronic trading or book-entry services by DTC with respect to the Common Stock Shares is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Share Purchase Agreement (Aptose Biosciences Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed set forth in the Filed Commission DocumentsDocuments and as of the Commencement Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of the such Trading Market or Eligible Market, as applicable. Except as disclosed set forth in the Commission DocumentsDocuments and as of the Commencement Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Spectaire Holdings Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The As of the date of this Agreement and the Closing Date, the Common Stock is registered pursuant to Section 12(b12(g) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in As of the Filed Commission Documentsdate of this Agreement and the Closing Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market or Eligible Market, as applicable. As of the Trading Market. Except as disclosed in the Commission DocumentsClosing Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Life Clips, Inc.)

Listing and Maintenance Requirements; DTC Eligibility. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed in the Filed Commission Documents, the The Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from any Person the Trading Market (or, if the Common Stock is then listed on an Eligible Market, from such Eligible Market) to the effect that the Company is not in compliance with the listing or maintenance requirements of the Trading Market (or of such Eligible Market, as applicable). Except as disclosed in the Commission Documents, the Company is in compliance with all such applicable listing and maintenance requirements of the Trading Market. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received written notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.. ​ ​

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Monogram Orthopaedics Inc)

Listing and Maintenance Requirements; DTC Eligibility. The As of the Commencement Date, the Common Stock is registered pursuant to Section 12(b) of the Exchange Act, and the Company has taken no action designed to, or which to its Knowledge is likely to have the effect of, terminating the registration of the Common Stock pursuant to under the Exchange Act Act, nor has the Company received any notification that the Commission is currently contemplating terminating such registration. Except as disclosed set forth in the Filed Commission DocumentsDocuments and as of the Commencement Date, the Company has not, in the twelve (12) months preceding the date hereof, not received any written notice from the Trading Market or any Person Eligible Market on which the Common Stock is or has been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of the such Trading Market or Eligible Market, as applicable. Except as disclosed set forth in the Commission DocumentsDocuments and as of the Commencement Date, the Company is in compliance with all such listing and maintenance requirements of the Trading Marketrequirements. The Common Stock is eligible for participation in the DTC book entry system may be issued and has shares on deposit at DTC for transferred electronically to third parties via DTC through its DWAC Deposit/Withdrawal at Custodian (“DWAC”) delivery system. The Company has not received notice from DTC to the effect that a suspension of, or restriction on, accepting additional deposits of the Common Stock, electronic trading or book-entry services by DTC with respect to the Common Stock is being imposed or is contemplated.

Appears in 1 contract

Samples: Common Stock Purchase Agreement (Evofem Biosciences, Inc.)

Time is Money Join Law Insider Premium to draft better contracts faster.