Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 474 contracts
Samples: Securities Purchase Agreement (NXT Nutritionals Holdings, Inc.), Securities Purchase Agreement (China Valves Technology, Inc), Securities Purchase Agreement (Adrenalina)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 162 contracts
Samples: Securities Purchase Agreement (Lehman Brothers Holdings Inc), Securities Purchase Agreement (Akeena Solar, Inc.), Securities Purchase Agreement (Ibsg International Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 105 contracts
Samples: Securities Purchase Agreement (Exabyte Corp /De/), Securities Purchase Agreement (Isonics Corp), Securities Purchase Agreement (KL Energy Corp)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 102 contracts
Samples: Securities Purchase Agreement (Fellows Energy LTD), Securities Purchase Agreement (Small World Kids Inc), Escrow Agreement (World Health Alternatives Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading the Principal 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 Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 69 contracts
Samples: Equity Purchase Agreement (US Highland, Inc.), Equity Purchase Agreement (Ocean Thermal Energy Corp), Equity Purchase Agreement (NABUfit Global, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 43 contracts
Samples: Securities Purchase Agreement (Nac Global Technologies, Inc.), Securities Purchase Agreement (Notis Global, Inc.), Securities Purchase Agreement (Force Protection Video Equipment Corp.)
Listing and Maintenance Requirements. 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 toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Primary 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 Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 32 contracts
Samples: Securities Purchase Agreement (TXP Corp), Securities Purchase Agreement (CombiMatrix Corp), Securities Purchase Agreement (Unicorp Inc /New)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Except as disclosed in the SEC Documents, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 28 contracts
Samples: Purchase Agreement (T2 Biosystems, Inc.), Purchase Agreement (Caladrius Biosciences, Inc.), Purchase Agreement (Brickell Biotech, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 28 contracts
Samples: Securities Purchase Agreement (Adventrx Pharmaceuticals Inc), Securities Purchase Agreement (Pure Bioscience, Inc.), Securities Purchase And (Psq, LLC)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 28 contracts
Samples: Securities Purchase Agreement (Cool Technologies, Inc.), Securities Purchase Agreement (Pura Naturals, Inc.), Securities Purchase Agreement (Leo Motors, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 27 contracts
Samples: Securities Purchase Agreement (Sg Blocks, Inc.), Securities Purchase Agreement (IdeaEdge, Inc), Securities Purchase Agreement (Senesco Technologies Inc)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 26 contracts
Samples: Purchase Agreement (Item 9 Labs Corp.), Purchase Agreement (Cachet Financial Solutions, Inc.), Purchase Agreement (Lightwave Logic, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 25 contracts
Samples: Securities Purchase Agreement (World Moto, Inc.), Securities Purchase Agreement (World Moto, Inc.), Securities Purchase Agreement (DraftDay Fantasy Sports, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as may be disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 23 contracts
Samples: Securities Purchase Agreement (SurgePays, Inc.), Securities Purchase Agreement (PetVivo Holdings, Inc.), Note Purchase Agreement (Netcapital Inc.)
Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirementsrequirements for continued trading of the Common Stock on the Principal Trading Market.
Appears in 20 contracts
Samples: Securities Purchase Agreement (Aquiline BNC Holdings LLC), Securities Purchase Agreement (Vantagesouth Bancshares, Inc.), Securities Purchase Agreement (Citizens South Banking Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereofExecution Date, received notice from any Trading the Principal 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 Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 19 contracts
Samples: Equity Purchase Agreement (MGT Capital Investments, Inc.), Equity Purchase Agreement (Sharing Economy International Inc.), Equity Purchase Agreement (Luduson G Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 17 contracts
Samples: Stock Purchase Agreement (East Coast Diversified Corp), Securities Purchase Agreement (Beyond Commerce, Inc.), Stock Purchase Agreement (Lucas Energy, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 17 contracts
Samples: Securities Purchase Agreement (Rexahn Pharmaceuticals, Inc.), Common Stock Purchase Agreement (Dataram Corp), Securities Purchase Agreement (Converted Organics Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading the Principal 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 Principal Market. The Company is, is and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 16 contracts
Samples: Common Stock Purchase Agreement (Investview, Inc.), Common Stock Purchase Agreement (American Cannabis Company, Inc.), Equity Purchase Agreement (RespireRx Pharmaceuticals Inc.)
Listing and Maintenance Requirements. 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 Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofCommitment Closing Date, received notice from any Trading 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. The Company currently is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 16 contracts
Samples: Investment Agreement (Blue Sphere Corp.), Investment Agreement (Li3 Energy, Inc.), Investment Agreement (Dynamic Ventures Corp.)
Listing and Maintenance Requirements. 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 toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading the Primary 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 Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 16 contracts
Samples: Securities Purchase Agreement (Galaxy Next Generation, Inc.), Securities Purchase Agreement (Electromedical Technologies, Inc), Securities Purchase Agreement (Samsara Luggage, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the Public Reports, Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 16 contracts
Samples: Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.), Securities Purchase Agreement (Ascent Solar Technologies, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 14 contracts
Samples: Preferred Stock Purchase Agreement (Entech Solar, Inc.), Stock Loan Agreement (Sparta Commercial Services, Inc.), Preferred Stock Purchase Agreement (Yasheng Eco-Trade Corp)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 12 contracts
Samples: Purchase Agreement (MetaStat, Inc.), Purchase Agreement (Rezolute, Inc.), Purchase Agreement Purchase Agreement (Hooper Holmes Inc)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not Except as disclosed in the foreseeable future continue to beSEC Documents, the Company is in compliance with all such listing and maintenance requirements.
Appears in 12 contracts
Samples: Purchase Agreement (Acer Therapeutics Inc.), Purchase Agreement (Equillium, Inc.), Purchase Agreement (Moleculin Biotech, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading 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 Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 12 contracts
Samples: Subscription Agreement (Protea Biosciences Group, Inc.), Note Purchase Agreement (Protea Biosciences Group, Inc.), Subscription Agreement (Protea Biosciences Group, Inc.)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.
Appears in 12 contracts
Samples: Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Purchase Agreement (Lightning eMotors, Inc.)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as set forth on Schedule 4(e): (i) the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The ; and (ii) the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 12 contracts
Samples: Purchase Agreement Purchase Agreement (Opexa Therapeutics, Inc.), Purchase Agreement (Elite Pharmaceuticals Inc /Nv/), Purchase Agreement (Anavex Life Sciences Corp.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 11 contracts
Samples: Securities Purchase Agreement (Access Integrated Technologies Inc), Securities Purchase Agreement (Access Integrated Technologies Inc), Securities Purchase Agreement (Access Integrated Technologies, Inc. D/B/a Cinedigm Digital Cinema Corp.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 11 contracts
Samples: Underwriting Agreement (Bovie Medical Corp), Underwriting Agreement (Optex Systems Holdings Inc), Underwriting Agreement (Uranium Energy Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth on Schedule 3.1(v), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth on Schedule 3.1(v), the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Oxygen Biotherapeutics, Inc.), Securities Purchase Agreement (Oxygen Biotherapeutics, Inc.), Securities Purchase Agreement (Oxygen Biotherapeutics, Inc.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Uqm Technologies Inc), Securities Purchase Agreement (Ramp Corp), Securities Purchase Agreement (Perma Fix Environmental Services Inc)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirementsrequirements of the Trading Market on which the Common Stock is currently quoted.
Appears in 10 contracts
Samples: Purchase Agreement (Cleanspark, Inc.), Securities Purchase Agreement (Gopher Protocol Inc.), Securities Purchase Agreement (Cemtrex Inc)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofExecution Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 10 contracts
Samples: Preferred Stock Purchase Agreement (Uluru Inc.), Common Stock Purchase Agreement (POSITIVEID Corp), Preferred Stock Purchase Agreement (POSITIVEID Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such listing and maintenance requirements.
Appears in 10 contracts
Samples: Securities Purchase Agreement (Bioanalytical Systems Inc), Securities Purchase Agreement (Capitol Bancorp LTD), Securities Purchase Agreement (Bioanalytical Systems Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not Except as set forth in the foreseeable future continue to beSEC Reports, the Company is in compliance with all such listing and maintenance requirements.
Appears in 9 contracts
Samples: Securities Purchase Agreement (Transgenomic Inc), Securities Purchase Agreement (Transgenomic Inc), Securities Purchase Agreement (Alliance MMA, Inc.)
Listing and Maintenance Requirements. The Common Stock Company is registered required to file periodic reports pursuant to Section 12(b) or 12(g15(d) 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Car Charging Group, Inc.), Securities Purchase Agreement (Car Charging Group, Inc.), Securities Purchase Agreement (Car Charging Group, Inc.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Principal 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 Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 8 contracts
Samples: Registration Rights Agreement (Bulldog Technologies Inc), Securities Purchase Agreement (Sento Corp), Securities Purchase Agreement (Waverider Communications Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.), Securities Purchase Agreement (Catasys, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Titan Iron Ore Corp.), Securities Purchase Agreement (Fuel Performance Solutions, Inc.), Securities Purchase Agreement (Sionix Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements.
Appears in 7 contracts
Samples: Securities Purchase Agreement (NeuroMetrix, Inc.), Securities Purchase Agreement (NeuroMetrix, Inc.), Form of Securities Purchase Agreement (Bellerophon Therapeutics, Inc.)
Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, be in compliance with all such listing and maintenance requirementsrequirements of the Principal Trading Market on the date hereof.
Appears in 7 contracts
Samples: Securities Purchase Agreement (Insite Vision Inc), Securities Purchase Agreement (Derma Sciences, Inc.), Securities Purchase Agreement (Transgenomic Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Inovio Biomedical Corp), Securities Purchase Agreement (Genta Inc De/), Securities Purchase Agreement (Inovio Biomedical Corp)
Listing and Maintenance Requirements. The 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 that to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not Except as disclosed in the foreseeable future continue to beSEC Reports, the Company is in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Subscription Agreement (ARCA Biopharma, Inc.), Subscription Agreement (ARCA Biopharma, Inc.), Form of Subscription Agreement (MusclePharm Corp)
Listing and Maintenance Requirements. The Company’s Common Stock is registered pursuant to Section 12(b) or 12(g15(d) 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Nutracea), Securities Purchase Agreement (Sequiam Corp), Securities Purchase Agreement (Sequiam Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (New Generation Biofuels Holdings, Inc), Securities Purchase Agreement (New Generation Biofuels Holdings, Inc), Securities Purchase Agreement (New Generation Biofuels Holdings, Inc)
Listing and Maintenance Requirements. 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 toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Primary 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 Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Exchange Agreement (Seaway Valley Capital Corp), Securities Purchase Agreement (Locateplus Holdings Corp), Exchange Agreement (Seaway Valley Capital Corp)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Except as disclosed in the SEC Documents, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Purchase Agreement (Elite Pharmaceuticals Inc /Nv/), Purchase Agreement (Humanigen, Inc), Purchase Agreement (MGT Capital Investments, Inc.)
Listing and Maintenance Requirements. (i) The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The , (ii) the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Market and (iii) the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Todos Medical Ltd.), Securities Purchase Agreement (Todos Medical Ltd.), Securities Purchase Agreement (Comstock Inc.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ambient Corp /Ny), Securities Purchase Agreement (Ambient Corp /Ny), Securities Purchase Agreement (Ambient Corp /Ny)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed on Schedule III.B.17, Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Stock Purchase Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Camber Energy, Inc.), Stock Purchase Agreement (Camber Energy, Inc.)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Purchase Agreement (xG TECHNOLOGY, INC.), Purchase Agreement (Biodel Inc), Purchase Agreement (xG TECHNOLOGY, INC.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Mill City Ventures III, LTD), Securities Purchase Agreement (CombiMatrix Corp), Securities Purchase Agreement (CombiMatrix Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months three years preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 6 contracts
Samples: Securities Purchase Agreement (ChromaDex Corp.), Note Purchase Agreement (ChromaDex Corp.), Securities Purchase Agreement (ChromaDex Corp.)
Listing and Maintenance Requirements. 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 the Company’s Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 10 months preceding the date hereofClosing Date, received notice from any Trading 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. The As of the Closing Date, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Augme Technologies, Inc.), Securities Purchase Agreement (American Standard Energy Corp.), Securities Purchase Agreement (American Standard Energy Corp.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any “Trading Market Market” (as defined in the Purchase Agreement (as defined in Section 5(j) below)) 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Placement Agency Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc), Placement Agency Agreement (Biolife Solutions Inc)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (GetFugu, Inc.), Convertible Preferred Stock Purchase Agreement (POSITIVEID Corp), Stock Purchase Agreement (POSITIVEID Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading 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 Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Alliqua, Inc.), Securities Purchase Agreement (Alliqua, Inc.), Securities Purchase Agreement (China Health Resource, Inc.)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.
Appears in 5 contracts
Samples: Purchase Agreement (Amesite Inc.), Purchase Agreement (American Bio Medica Corp), Purchase Agreement (Odyssey Group International, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth on Schedule 3.1(w), the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (UFood Restaurant Group, Inc.), Securities Purchase Agreement (HII Technologies, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading OTC 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Subscription Agreement (Orbital Tracking Corp.), Subscription Agreement (Orbital Tracking Corp.), Subscription Agreement (Orbital Tracking Corp.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months one (1) year preceding the date hereof, received notice from any Trading Market trading 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 Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Subscription Agreement (GlyEco, Inc.), Subscription Agreement (GlyEco, Inc.), Subscription Agreement (GlyEco, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Preferred Stock Purchase Agreement (International Stem Cell CORP), Preferred Stock Purchase Agreement (Cord Blood America, Inc.), Preferred Stock Purchase Agreement (Cord Blood America, Inc.)
Listing and Maintenance Requirements. The shares of Common Stock is are 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 the knowledge of the Company is likely to have the effect of, terminating the registration of the shares of Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Market on which the shares of Common Stock is are or has have been listed or quoted to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, is and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Registration Rights Agreement (Bergio International, Inc.), Securities Purchase Agreement (Innocap Inc), Securities Purchase Agreement (Innocap Inc)
Listing and Maintenance Requirements. The 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 the Knowledge of the Company is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market (if any) 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such applicable listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Integrity Applications, Inc.), Securities Purchase Agreement (Integrity Applications, Inc.), Form of Securities Purchase Agreement (Integrity Applications, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange 1934 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 under the Exchange 1934 Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Fuelstream INC), Securities Purchase Agreement (Ab International Group Corp.), Securities Purchase Agreement (Ab International Group Corp.)
Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirementsrequirements for continued trading of the Common Stock on the Principal Trading Market.
Appears in 5 contracts
Samples: Securities Purchase Agreement (SCBT Financial Corp), Securities Purchase Agreement (First Bancshares Inc /MS/), Securities Purchase Agreement (Southern First Bancshares Inc)
Listing and Maintenance Requirements. The Common Stock is Shares are 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 reasonably likely to have the effect of, terminating the registration of the Common Stock Shares under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock Shares 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Subscription Agreement (Response Biomedical Corp), Security Agreement (Response Biomedical Corp), Subscription Agreement (Response Biomedical Corp)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company has taken no action designed toto terminate, or which that, to its knowledge knowledge, is likely to have the effect ofof terminating, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.), Securities Purchase Agreement (SANUWAVE Health, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofEffective Date, received notice from any Trading Market trading 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 Markettrading market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Series H Preferred Stock Purchase Agreement (Entech Solar, Inc.), Series G Preferred Stock Purchase Agreement (Entech Solar, Inc.), Series I Preferred Stock Purchase Agreement (Entech Solar, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g12 (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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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, except such as has been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Underwriting Agreement (Superconductor Technologies Inc), Underwriting Agreement (Superconductor Technologies Inc), Underwriting Agreement (Superconductor Technologies Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Novavax Inc), Securities Purchase Agreement (Novadel Pharma Inc), Securities Purchase Agreement (Wave Systems Corp)
Listing and Maintenance Requirements. 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 actual knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission SEC is currently contemplating terminating such registration. The Except as disclosed in the SEC Documents, the Company has not, in the 12 twelve (12) months immediately preceding the date hereof, received any notice from any Trading Market on which the Common Stock is or has been listed or quoted Person to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading the Principal Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Principal Market has not commenced any delisting proceedings against the Company.
Appears in 4 contracts
Samples: Purchase Agreement (Netlist Inc), Purchase Agreement (Inmune Bio, Inc.), Purchase Agreement (Netlist Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Neurobiological Technologies Inc /Ca/), Hyperdynamics Corp, Hyperdynamics Corp
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth on Schedule 3.1(w), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Msgi Security Solutions, Inc), Securities Purchase Agreement (Cash Technologies Inc), Securities Purchase Agreement (Telzuit Medical Technologies, Inc.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months two years preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The issuance and sale of the Shares hereunder does not contravene the rules and regulations of the Trading Market.
Appears in 4 contracts
Samples: Investment Agreement (CASI Pharmaceuticals, Inc.), Investment Agreement (Spectrum Pharmaceuticals Inc), Investment Agreement (Spectrum Pharmaceuticals Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofhereof or any Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it immediately after the consummation of the transactions contemplated hereby will not in the foreseeable future continue to be, in compliance with all such listing or quotation (as applicable) and maintenance requirements.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Stemcells Inc), Common Stock Purchase Agreement (Stemcells Inc), Common Stock Purchase Agreement (Valence Technology Inc)
Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any the Principal Trading 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 the Principal Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirementsrequirements for continued trading of the Common Stock on the Principal Trading Market.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Codorus Valley Bancorp Inc), Securities Purchase Agreement (Fidelity Southern Corp), Share Purchase Agreement (Cyalume Technologies Holdings, Inc.)
Listing and Maintenance Requirements. The 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 under pursuant to the Exchange Act nor has the Company received any notification that the Commission is currently contemplating terminating such registration. The Except as disclosed in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as disclosed in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc), Securities Purchase Agreement (Cell Therapeutics Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act Act, nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received any notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Secured Convertible Note Purchase Agreement (Ebix Inc), Secured Convertible Note Purchase Agreement (Ebix Inc), Convertible Note Purchase Agreement (Ebix Inc)
Listing and Maintenance Requirements. The 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 actual knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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 material listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe currently believes that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Spectrum Pharmaceuticals Inc), Securities Purchase Agreement (Spectrum Pharmaceuticals Inc), Securities Purchase Agreement (Spectrum Pharmaceuticals Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Genta Inc De/), Securities Purchase Agreement (Genaera Corp), Securities Purchase Agreement (Genaera Corp)
Listing and Maintenance Requirements. The Notis’ Common Stock is registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Company Notis 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 under the Exchange Act nor has the Company Notis received any notification that the Commission is contemplating terminating such registration. The Company Notis has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading 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. The Company Notis is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Convertible Note Purchase Agreement (Notis Global, Inc.), Convertible Note Purchase Agreement (Notis Global, Inc.), Convertible Note Purchase Agreement (Notis Global, Inc.)
Listing and Maintenance Requirements. The Common Stock is registered pursuant to Section 12(b) or 12(g) 12 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofClosing, received notice from any the Trading 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, except in connection with notices which relate to compliance issues which have since been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such the listing and maintenance requirementsrequirements of the Trading Market.
Appears in 4 contracts
Samples: Security Exchange Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.), Exchange Agreement (Camber Energy, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth on Schedule 2.23, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (H & H Imports, Inc.), Securities Purchase Agreement (As Seen on TV, Inc.), Securities Purchase Agreement (As Seen on TV, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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, except such as has been cured. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp), Underwriting Agreement (CombiMatrix Corp)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it immediately after the consummation of the transactions contemplated hereby will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Common Stock Purchase Agreement (Novadel Pharma Inc), Common Stock Purchase Agreement (Beacon Power Corp), Securities Purchase Agreement (Neuralstem, Inc.)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Common Stock is listed on the OTC Bulletin Board and the Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted OTC Bulletin Board to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Solomon Technologies Inc), Securities Purchase Agreement (Solomon Technologies Inc), Securities Purchase Agreement (Solomon Technologies Inc)
Listing and Maintenance Requirements. 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in Schedule 3.V, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Biosante Pharmaceuticals Inc, Biosante Pharmaceuticals Inc, Biosante Pharmaceuticals Inc
Listing and Maintenance Requirements. 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 terminate the registration of the Common Stock under the Exchange Act nor has the Company received any written notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received written notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance in all material respects with all such the listing and maintenance requirementsrequirements for continued trading of the Common Stock on the Principal Trading Market.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Bay Banks of Virginia Inc), Stock Purchase Agreement (HCSB Financial Corp), Stock Purchase Agreement (RMB Capital Management, LLC)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from the OTC Market Group’s OTC: Pink electronic quotation system (the “Trading Market”) or any Trading Market other trading 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, if any. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all any such listing and maintenance requirements.
Appears in 4 contracts
Samples: Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc), Placement Agency Agreement (Z Trim Holdings, Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in material compliance with all such listing and maintenance requirements.
Appears in 4 contracts
Samples: Securities Purchase Agreement (China Integrated Energy, Inc.), Securities Purchase Agreement (China XD Plastics Co LTD), Securities Purchase Agreement (China Integrated Energy, Inc.)
Listing and Maintenance Requirements. 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 toto terminate, or which to its knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission SEC is contemplating terminating such registration. The Company has not, in the 12 twelve (12) months preceding the date hereof, received notice from any Trading Primary Market (defined below) 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 Primary Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Purchase and Exchange Agreement (Helix Wind, Corp.), Note Purchase Agreement (Egpi Firecreek, Inc.), Purchase and Exchange Agreement (Helix Wind, Corp.)
Listing and Maintenance Requirements. 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 Knowledge is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the Commission Documents, the Company has not, in the 12 months preceding the date hereofClosing Date, received notice from any Trading 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. The As of the Closing Date, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, is in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Common Stock Purchase Agreement (Omeros Corp), Common Stock Purchase Agreement (Oncothyreon Inc.), Common Stock Purchase Agreement (Emcore Corp)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as set forth in the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Except as set forth in the SEC Reports, the Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Nitches Inc), Securities Purchase Agreement (Blue Holdings, Inc.), Securities Purchase Agreement (Trist Holdings, Inc.)
Listing and Maintenance Requirements. The 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 under the Exchange Act Act, nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereofhereof or the Closing Date, received notice from any Trading Market on which the Common Stock is or has been listed or quoted (as applicable) to the effect that the Company is not in compliance with the listing or quotation (as applicable) and maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it immediately after the consummation of the transactions contemplated hereby will not in the foreseeable future continue to be, in compliance with all such listing or quotation (as applicable) and maintenance requirements.
Appears in 3 contracts
Samples: Underwriting Agreement (Stemcells Inc), Underwriting Agreement (Stemcells Inc), Stemcells Inc
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed on Schedule 3.1(w), the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Lightpath Technologies Inc), Securities Purchase Agreement (Sionix Corp), Securities Purchase Agreement (Lightpath Technologies Inc)
Listing and Maintenance Requirements. The 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 under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Company has not, in the 12 months preceding the date hereof, received notice from any Trading Market on which the Common Stock is or has been listed or quoted Over-the-Counter Bulletin Board to the effect that the Company is not in compliance with the listing or maintenance requirements of such Trading Market. The Company is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Securities Purchase Agreement (T3 Motion, Inc.), Securities Purchase Agreement (T3 Motion, Inc.), Securities Purchase Agreement (T3 Motion, Inc.)
Listing and Maintenance Requirements. 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 will have the effect of, terminating the registration of the Common Stock under the Exchange Act nor has the Company received any notification that the Commission is contemplating terminating such registration. The Except as disclosed in the Registration Statement or the SEC Reports, the Company has not, in the 12 months preceding the date hereof, received notice from any Trading 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. The Company is, and has no reason to believe that it at the Closing Date will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements.
Appears in 3 contracts
Samples: Epicept Corp, Epicept Corp, Epicept Corp
