Common use of Litigation; Governmental Proceedings Clause in Contracts

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 212 contracts

Sources: Underwriting Agreement (Rein Therapeutics, Inc.), Underwriting Agreement (Rein Therapeutics, Inc.), Underwriting Agreement (American Battery Materials, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Respondents or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 135 contracts

Sources: Underwriting Agreement (Starlink AI Acquisition Corp), Underwriting Agreement (Quantum Leap Acquisition Corp), Underwriting Agreement (Quantum Leap Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 104 contracts

Sources: Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (rYojbaba Co., Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director the Initial Shareholders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 53 contracts

Sources: Underwriting Agreement (Global Lights Acquisition Corp), Underwriting Agreement (Gardiner Healthcare Acquisitions Corp.), Underwriting Agreement (Gardiner Healthcare Acquisitions Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened threatened, against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 47 contracts

Sources: Underwriting Agreement (BILLION GROUP HOLDINGS LTD), Underwriting Agreement (Lorenzo Developments Inc.), Underwriting Agreement (DT House LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich has not been disclosed.

Appears in 46 contracts

Sources: Underwriting Agreement (Amatuhi Holdings, Inc.), Underwriting Agreement (Lytus Technologies Holdings PTV. Ltd.), Underwriting Agreement (Lytus Technologies Holdings PTV. Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 40 contracts

Sources: Underwriting Agreement (Gigabit Inc.), Underwriting Agreement (Mega Fortune Co LTD), Underwriting Agreement (Mega Fortune Co LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any of the Company’s executive officer or director which has not been officers and directors, that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeand which has not been disclosed therein.

Appears in 40 contracts

Sources: Underwriting Agreement (West Enclave Merger Corp.), Underwriting Agreement (West Enclave Merger Corp.), Underwriting Agreement (Peace Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 38 contracts

Sources: Underwriting Agreement (RF Acquisition Corp.), Underwriting Agreement (RF Acquisition Corp.), Underwriting Agreement (RF Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 35 contracts

Sources: Underwriting Agreement (Stardust Power Inc.), Underwriting Agreement (Digital Ally, Inc.), Underwriting Agreement (Digital Ally, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director the Initial Stockholders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 33 contracts

Sources: Underwriting Agreement (Chardan Nextech Acquisition Corp.), Underwriting Agreement (Monterey Bio Acquisition Corp), Underwriting Agreement (Monterey Bio Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending orpending, or to the Company’s knowledge, threatened against, against or involving the Company or, to the Company’s knowledge, any executive officer or director which Insider that has not been disclosed disclosed, that is required to be disclosed, in the Registration Statement, the Pricing Disclosure Package and Statutory Prospectus, the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 32 contracts

Sources: Underwriting Agreement (Sky Acquisition Group), Underwriting Agreement (StoneBridge Acquisition II Corp), Underwriting Agreement (StoneBridge Acquisition II Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director the Sponsor, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 30 contracts

Sources: Underwriting Agreement (Rising Dragon Acquisition Corp.), Underwriting Agreement (YHN Acquisition I LTD), Underwriting Agreement (Rising Dragon Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing General Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 26 contracts

Sources: Underwriting Agreement (ARC Group Acquisition I Corp.), Underwriting Agreement (ARC Group Acquisition I Corp.), Underwriting Agreement (K2 Capital Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 25 contracts

Sources: Underwriting Agreement (Opti-Harvest, Inc.), Underwriting Agreement (Opti-Harvest, Inc.), Underwriting Agreement (Opti-Harvest, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 25 contracts

Sources: Underwriting Agreement (Salspera, Inc.), Underwriting Agreement (SFIDA X, Inc.), Underwriting Agreement (Silynxcom Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus which is required to be disclosed, in each case which individually or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeaggregate, is reasonably expected to result in a Material Adverse Change.

Appears in 24 contracts

Sources: Underwriting Agreement (Reed's, Inc.), Underwriting Agreement (Reed's, Inc.), Underwriting Agreement (Reed's, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaq.

Appears in 24 contracts

Sources: Underwriting Agreement (RIKU DINING GROUP LTD), Underwriting Agreement (Vittoria LTD), Underwriting Agreement (Vittoria LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 23 contracts

Sources: Underwriting Agreement (Student Living EduVation (Holdings) Corp), Underwriting Agreement (TY AM Group (Holdings) LTD), Underwriting Agreement (Megan Holdings Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeExchange and which is required to be disclosed.

Appears in 22 contracts

Sources: Placement Agency Agreement (Sidus Space Inc.), Placement Agency Agreement (Greenland Energy Co), Placement Agency Agreement (Twin Vee PowerCats, Co.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Respondents, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 20 contracts

Sources: Underwriting Agreement (Western Acquisition Ventures Corp.), Underwriting Agreement (Western Acquisition Ventures Corp.), Underwriting Agreement (Western Acquisition Ventures Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 17 contracts

Sources: Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (InspireMD, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 17 contracts

Sources: Underwriting Agreement (Pacific Special Acquisition Corp.), Underwriting Agreement (Pacific Special Acquisition Corp.), Underwriting Agreement (Arowana Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 16 contracts

Sources: Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed and is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and which is required to be disclosed.

Appears in 14 contracts

Sources: Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.), Placement Agency Agreement (Nano Dimension Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and Questionnaires or the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 14 contracts

Sources: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been that is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich has not been disclosed.

Appears in 14 contracts

Sources: Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.), Underwriting Agreement (Know Labs, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and which is required to be disclosed.

Appears in 14 contracts

Sources: Underwriting Agreement (Intensity Therapeutics, Inc.), Underwriting Agreement (ProPhase Labs, Inc.), Underwriting Agreement (OMNIQ Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 14 contracts

Sources: Underwriting Agreement (Micware Co., Ltd.), Underwriting Agreement (Micware Co., Ltd.), Underwriting Agreement (Micware Co., Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Company, or in connection with the Company’s listing application for the listing of the Shares on the Exchange, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangeand is required to be disclosed therein.

Appears in 14 contracts

Sources: Underwriting Agreement (Uptrend Holdings LTD), Underwriting Agreement (Uptrend Holdings LTD), Underwriting Agreement (Top Win International LTD)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 12 contracts

Sources: Underwriting Agreement (WF International Ltd.), Underwriting Agreement (WF International Ltd.), Underwriting Agreement (World Road Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 11 contracts

Sources: Underwriting Agreement (Meridian Waste Solutions, Inc.), Underwriting Agreement (Akers Biosciences Inc), Underwriting Agreement (Intellicheck Mobilisa, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 11 contracts

Sources: Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II), Underwriting Agreement (Andina Acquisition Corp. II)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeSupplement which is required to be disclosed.

Appears in 10 contracts

Sources: Underwriting Agreement (Dss, Inc.), Underwriting Agreement (Youxin Technology LTD), Underwriting Agreement (Youxin Technology LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, or threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 9 contracts

Sources: Underwriting Agreement (Maison Solutions Inc.), Underwriting Agreement (Oranco Inc), Underwriting Agreement (Maison Solutions Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed would, individually or in the Registration Statementaggregate, the Pricing Disclosure Package and the Prospectus or reasonably be expected to result in connection with the Company’s listing application for the listing of the Public Securities on the Exchangea Material Adverse Change.

Appears in 9 contracts

Sources: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Distribution Agreement (Stemline Therapeutics Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director that is required to be disclosed in the Preliminary Prospectus, the Prospectus and the Registration Statement which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus therein or in connection with the Company’s listing application for the listing of the Public Securities shares of Common Stock on the ExchangeNasdaq Capital Market.

Appears in 9 contracts

Sources: Underwriting Agreement (Movano Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Provention Bio, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock (including the Common Stock underlying the Placement Agent Warrant) on the Exchange.

Appears in 8 contracts

Sources: Placement Agency Agreement (Ascent Solar Technologies, Inc.), Placement Agency Agreement (Ascent Solar Technologies, Inc.), Placement Agency Agreement (Ascent Solar Technologies, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeExchange and which is required to be disclosed.

Appears in 8 contracts

Sources: Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (Roadzen Inc.), Underwriting Agreement (BriaCell Therapeutics Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 8 contracts

Sources: Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (PARETEUM Corp), Underwriting Agreement (PARETEUM Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock on the Exchange.

Appears in 8 contracts

Sources: Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Placement Agency Agreement (Tonix Pharmaceuticals Holding Corp.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 8 contracts

Sources: Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.), Underwriting Agreement (C3is Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 7 contracts

Sources: Underwriting Agreement (Diamir Biosciences Corp.), Underwriting Agreement (Intensity Therapeutics, Inc.), Underwriting Agreement (Intensity Therapeutics, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending involving the Company or, to the Company’s knowledge, threatened againstagainst the Company, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange, and is required to be disclosed therein.

Appears in 7 contracts

Sources: Underwriting Agreement (Janover Inc.), Underwriting Agreement (Janover Inc.), Underwriting Agreement (Concorde International Group Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 7 contracts

Sources: Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (Cesca Therapeutics Inc.), Placement Agency Agreement (ITUS Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insiders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 7 contracts

Sources: Underwriting Agreement (MedWorth Acquisition Corp.), Underwriting Agreement (MedWorth Acquisition Corp.), Underwriting Agreement (Hf2 Financial Management Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or and director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 7 contracts

Sources: Underwriting Agreement (I-Am CAPITAL ACQUISITION Co), Underwriting Agreement (I-Am CAPITAL ACQUISITION Co), Underwriting Agreement (I-Am CAPITAL ACQUISITION Co)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director of the Company’s officers and directors, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statutory Prospectus and the Prospectus that is required to be disclosed in the Registration Statement, the Statutory Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 7 contracts

Sources: Underwriting Agreement (Keyarch Acquisition Corp), Underwriting Agreement (Keyarch Acquisition Corp), Underwriting Agreement (ROC Energy Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing trading of the Public Securities Shares on the ExchangeNasdaqCM.

Appears in 6 contracts

Sources: Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 6 contracts

Sources: Underwriting Agreement (HealthLynked Corp), Underwriting Agreement (Actelis Networks Inc), Underwriting Agreement (Actelis Networks Inc)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 6 contracts

Sources: Placement Agency Agreement (Addentax Group Corp.), Placement Agency Agreement (Greenpro Capital Corp.), Placement Agency Agreement (Greenpro Capital Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer Director/Officer or director any Special Advisor which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Sale Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 6 contracts

Sources: Underwriting Agreement (TransTech Services Partners Inc.), Underwriting Agreement (United Refining Energy Corp), Underwriting Agreement (TransTech Services Partners Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange, and is required to be disclosed therein.

Appears in 6 contracts

Sources: Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD), Underwriting Agreement (Wing Yip Food Holdings Group LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledgethreatened, threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 6 contracts

Sources: Underwriting Agreement (Rich Sparkle Holdings LTD), Underwriting Agreement (Rich Sparkle Holdings LTD), Underwriting Agreement (Trident Digital Tech Holdings LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending involving the Company or, to the Company’s knowledge, threatened against, or involving against the Company or, to the Company’s knowledge, any executive officer or director which is required to be disclosed and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 6 contracts

Sources: Underwriting Agreement (CCH Holdings LTD), Underwriting Agreement (Thoughtful Media Group Inc.), Underwriting Agreement (Thoughtful Media Group Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 6 contracts

Sources: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending orpending, or to the Company’s knowledge, threatened against, against or involving the Company or, to the Company’s knowledge, or any executive officer Insider or director which any stockholder or member of an Insider that has not been disclosed or that is required to be disclosed, in the Registration Statement, the Pricing Disclosure Package and Sale Preliminary Prospectus, the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 6 contracts

Sources: Underwriting Agreement (PMV Acquisition Corp.), Underwriting Agreement (Harmony Merger Corp.), Underwriting Agreement (Harmony Merger Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director Initial Shareholder, which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 6 contracts

Sources: Underwriting Agreement (China Discovery Acquisition Corp.), Underwriting Agreement (China Fortune Acquisition Corp.), Underwriting Agreement (China Discovery Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Initial Shareholders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 6 contracts

Sources: Underwriting Agreement (China VantagePoint Acquisition Co), Underwriting Agreement (China VantagePoint Acquisition Co), Underwriting Agreement (China VantagePoint Acquisition Co)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director director, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 6 contracts

Sources: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Nano Dimension Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, or threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Materials, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaq.

Appears in 5 contracts

Sources: Underwriting Agreement (Jyong Biotech Ltd.), Underwriting Agreement (Baiya International Group Inc.), Underwriting Agreement (Jyong Biotech Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Sources: Underwriting Agreement (Oranco Inc), Underwriting Agreement (Pixie Dust Technologies, Inc.), Underwriting Agreement (Pixie Dust Technologies, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any Subsidiary or, to the Company’s knowledge, any executive officer or director of the Company which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 5 contracts

Sources: Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Base Prospectus, the Time of Sale Prospectus and the Prospectus Supplement or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the NASDAQ Capital Market (the “Exchange”).

Appears in 5 contracts

Sources: Placement Agent Agreement (NXT-Id, Inc.), Placement Agent Agreement (NXT-Id, Inc.), Placement Agent Agreement (xG TECHNOLOGY, INC.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaqCM.

Appears in 5 contracts

Sources: Underwriting Agreement (Professional Diversity Network, LLC), Underwriting Agreement (Kips Bay Medical, Inc.), Underwriting Agreement (Cancer Genetics, Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director Insiders which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Sources: Underwriting Agreement (Fortune Joy International Acquisition Corp), Underwriting Agreement (Fortune Joy International Acquisition Corp), Underwriting Agreement (Fortune Joy International Acquisition Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which director, in his capacity as such, that has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Sources: Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the additional listing of the Public Securities Common Stock on the Exchange.

Appears in 5 contracts

Sources: Placement Agency Agreement (Oragenics Inc), Placement Agency Agreement (Oragenics Inc), Placement Agency Agreement (Oragenics Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director which that has not been disclosed in the Registration Statement, the Pricing Disclosure Package Materials, and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeNasdaq Capital Market.

Appears in 5 contracts

Sources: Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD), Underwriting Agreement (Linkers Industries LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed as required by the Securities Act or the Securities Regulations in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 5 contracts

Sources: Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.), Underwriting Agreement (CaliberCos Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 5 contracts

Sources: Underwriting Agreement (Insurance Income Strategies Ltd.), Underwriting Agreement (Insurance Income Strategies Ltd.), Underwriting Agreement (Genprex, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Sources: Underwriting Agreement (On Track Innovations LTD), Underwriting Agreement (Skystar Bio-Pharmaceutical Co), Underwriting Agreement (Cavico Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Offering Statement, the Pricing Disclosure Package Materials and the Prospectus Final Offering Circular or in connection with the Company’s 's listing application for the additional listing of the Public Securities Shares on the Exchange.

Appears in 4 contracts

Sources: Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.), Placement Agency Agreement (Glucose Biosensor Systems (Greater China) Holdings, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Placement Shares on the Exchange.

Appears in 4 contracts

Sources: Underwriting Agreement (Shineco, Inc.), Underwriting Agreement (Shineco, Inc.), Underwriting Agreement (Shineco, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the Exchange.

Appears in 4 contracts

Sources: Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (Applied UV, Inc.), Underwriting Agreement (HyreCar Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director Initial Shareholder which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Sources: Underwriting Agreement (UTXO Acquisition Inc.), Underwriting Agreement (UTXO Acquisition Inc.), Underwriting Agreement (UTXO Acquisition Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the ExchangeNASDAQ Capital Market (“NASDAQ”).

Appears in 4 contracts

Sources: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company Company, or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeExchange and which is required to be disclosed.

Appears in 4 contracts

Sources: Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (XTI Aerospace, Inc.), Underwriting Agreement (XTI Aerospace, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director Insider Stockholder, which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 4 contracts

Sources: Underwriting Agreement (Fortress America Acquisition CORP), Underwriting Agreement (Fortress America Acquisition CORP), Underwriting Agreement (Fortress America Acquisition CORP)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation litigation, or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Package, and the Prospectus Prospectus, filings made by the Company with the Commission or in connection with the Company’s listing application for the listing of the Public Securities Common Stock on the Exchange.

Appears in 4 contracts

Sources: Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, and which is resolved adversely to the Company would result in a Material Adverse Change or in connection with otherwise affect the Company’s listing application for ability to consummate the listing of the Public Securities on the ExchangeOffering.

Appears in 4 contracts

Sources: Underwriting Agreement (MAIA Biotechnology, Inc.), Underwriting Agreement (MAIA Biotechnology, Inc.), Underwriting Agreement (MAIA Biotechnology, Inc.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Sources: Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.), Underwriting Agreement (PetroShare Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director Initial Stockholder which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 4 contracts

Sources: Underwriting Agreement (Phoenix India Acquisition Corp.), Underwriting Agreement (Phoenix India Acquisition Corp.), Underwriting Agreement (Phoenix India Acquisition Corp.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company orCompany, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Preliminary Prospectus, the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 4 contracts

Sources: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive director or officer or director of the Company which has not been disclosed in the Questionnaires, Registration Statement, the Pricing Disclosure Package Sale Preliminary Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 4 contracts

Sources: Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.), Underwriting Agreement (Chart Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any Subsidiary or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 4 contracts

Sources: Underwriting Agreement (Lafayette Energy Corp.), Underwriting Agreement (Perfect Moment Ltd.), Underwriting Agreement (Perfect Moment Ltd.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Sources: Underwriting Agreement (MaxsMaking Inc.), Underwriting Agreement (MaxsMaking Inc.), Underwriting Agreement (MaxsMaking Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities ADSs on the Exchange.

Appears in 3 contracts

Sources: Underwriting Agreement (Nova Minerals LTD), Underwriting Agreement (Nova Minerals LTD), Underwriting Agreement (Nova Minerals LTD)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer or director Initial Shareholders, which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 3 contracts

Sources: Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.), Underwriting Agreement (Spring Creek Acquisition Corp.)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company Company, any of its Subsidiaries or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is required to be disclosed.

Appears in 3 contracts

Sources: Underwriting Agreement (Cel Sci Corp), Underwriting Agreement (Cel Sci Corp), Underwriting Agreement

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on The NASDAQ Capital Market (the Exchange”).

Appears in 3 contracts

Sources: Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the best of the Company’s knowledge, threatened against, or involving the Company or, to the best of the Company’s knowledge, any executive officer officer, director or director five percent stockholder of the Company which has not been disclosed in the Registration Statement, Statement or the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeQuestionnaires.

Appears in 3 contracts

Sources: Underwriting Agreement (Global Technology Industries, Inc.), Underwriting Agreement (Global Technology Industries, Inc.), Underwriting Agreement (Global Technology Industries, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Sources: Placement Agent Agreement (Endurance Exploration Group, Inc.), Underwriting Agreement (General Agriculture Corp), Underwriting Agreement (General Agriculture Corp)

Litigation; Governmental Proceedings. There is no material action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s 's knowledge, threatened against, or involving the Company or, to the Company’s 's knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s 's listing application for the additional listing of the Public Securities Common Stock and Warrant Shares on the Exchange.

Appears in 3 contracts

Sources: Placement Agency Agreement (Precision Therapeutics Inc.), Placement Agency Agreement (Sigma Labs, Inc.), Placement Agency Agreement (Precision Therapeutics Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer of the Directors/Officers or director any of the Insider Shareholders, which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Questionnaires, the Statutory Prospectus and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the ExchangeProspectus.

Appears in 3 contracts

Sources: Underwriting Agreement (Universal Business Payment Solutions Acquisition Corp), Underwriting Agreement (Universal Business Payment Solutions Acquisition Corp), Underwriting Agreement (Lone Oak Acquisition Corp)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities Shares on the ExchangeNasdaq Global Market.

Appears in 3 contracts

Sources: Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (Peak Resorts Inc), Underwriting Agreement (Peak Resorts Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been disclosed which, individually or in the Registration Statementaggregate, might result in any Material Adverse Change, or would materially and adversely affect the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing ability of the Public Securities on Company to perform its obligations under the ExchangeTransaction Documents or which are otherwise material in the context of the sale of the Securities.

Appears in 3 contracts

Sources: Placement Agency Agreement (Fangdd Network Group Ltd.), Placement Agency Agreement (Fangdd Network Group Ltd.), Placement Agency Agreement (Fangdd Network Group Ltd.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or any member of the Company Group or, to the Company’s knowledge, any executive officer or director which is required to be and has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange.

Appears in 3 contracts

Sources: Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc), Underwriting Agreement (Eyegate Pharmaceuticals Inc)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding pending or, to the Company’s knowledge, threatened against, or involving the Company or, to the Company’s knowledge, any executive officer or director which has not been is required to be disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus or in connection with the Company’s listing application for the listing of the Public Securities on the Exchangewhich is not disclosed therein.

Appears in 3 contracts

Sources: Underwriting Agreement (NeoStem, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (NeoStem, Inc.)

Litigation; Governmental Proceedings. There is no action, suit, proceeding, inquiry, arbitration, investigation, litigation or governmental proceeding proceeding, pending oror threatened, to the Company’s knowledge, threatened against, against or involving the Company or, to the Company’s knowledge, or any executive officer or director which has not been disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus Prospectus, or in connection with the Company’s listing application for the listing of the Public Securities on the Exchange, and is required to be disclosed therein.

Appears in 3 contracts

Sources: Underwriting Agreement (ECST Holdings LTD), Underwriting Agreement (ECST Holdings LTD), Underwriting Agreement (GLAMOORE Capital Group Co Ltd.)