Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 82 contracts
Samples: Drawdown Equity Financing Agreement, Equity Financing Agreement, Securities Purchase Agreement (Stragenics, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 81 contracts
Samples: Sales Agreement (eFFECTOR Therapeutics, Inc.), Sales Agreement (Gain Therapeutics, Inc.), Sales Agreement (Aridis Pharmaceuticals, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 63 contracts
Samples: Sales Agreement (Astra Space, Inc.), Sales Agreement (Blue Star Foods Corp.), Sales Agreement (Schmitt Industries Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 55 contracts
Samples: Common Stock (Nanoviricides, Inc.), Common Stock (Cyngn Inc.), Financing Agreement (Luminar Technologies, Inc./De)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 53 contracts
Samples: Sales Agreement (Theseus Pharmaceuticals, Inc.), Sales Agreement (Longboard Pharmaceuticals, Inc.), Sales Agreement (Anixa Biosciences Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Sales Agent.
Appears in 38 contracts
Samples: Sales Agreement (Lipocine Inc.), Sales Agreement (IGC Pharma, Inc.), Sales Agreement (Ocean Power Technologies, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 33 contracts
Samples: Sales Agreement (Rani Therapeutics Holdings, Inc.), Sales Agreement (Marker Therapeutics, Inc.), Sales Agreement (Biovie Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV.
Appears in 30 contracts
Samples: Sales Agreement (LIGHTBRIDGE Corp), Sales Agreement (BSD Medical Corp), www.sec.gov
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV.
Appears in 19 contracts
Samples: Sales Agreement (Mannkind Corp), Common Stock (Mannkind Corp), Sales Agreement (Acadia Pharmaceuticals Inc)
Market Activities. The Company will not, directly or indirectly, (i) indirectly take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares.
Appears in 18 contracts
Samples: Sales Agreement (Agenus Inc), Market Issuance Sales Agreement (Agenus Inc), Sales Agreement (Agenus Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for for, or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than Canaccord.
Appears in 17 contracts
Samples: Equity Distribution Agreement (Oncolytics Biotech Inc), Equity Distribution Agreement (Oncolytics Biotech Inc), Equity Distribution Agreement (Mohawk Group Holdings, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockPlacement Shares to be issued and sold pursuant to this Agreement, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Sales Agent.
Appears in 16 contracts
Samples: Common Stock Sales Agreement (Akerna Corp.), Equity Distribution Agreement (Icosavax, Inc.), Equity Distribution Agreement (Ondas Holdings Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might could reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company Common Stock to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockShares.
Appears in 15 contracts
Samples: Sales Agency Financing Agreement (Southern Co), Sales Agency Financing Agreement (Southern Co), Sales Agency Financing Agreement (Southern Co)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 14 contracts
Samples: Sales Agreement (Sunworks, Inc.), Common Stock (Sunworks, Inc.), Sales Agreement (Terawulf Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for for, or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than MLV.
Appears in 13 contracts
Samples: Sales Agreement (Magnum Hunter Resources Corp), Sales Agreement (Magnum Hunter Resources Corp), Sales Agreement (Magnum Hunter Resources Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 12 contracts
Samples: Sales Agreement (Zosano Pharma Corp), Sales Agreement (CONTRAFECT Corp), Sales Agreement (Stoke Therapeutics, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) indirectly take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 11 contracts
Samples: Reserve Equity Financing Agreement (Strategic Mining Corp), Reserve Equity Financing Agreement (Smart Kids Group Inc.), Reserve Equity Financing Agreement (USA Synthetic Fuel Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 8 contracts
Samples: Sales Agreement (Broadwind, Inc.), Sales Agreement (Heat Biologics, Inc.), Sales Agreement (CollabRx, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent or an Alternative Agent.
Appears in 8 contracts
Samples: Great Ajax Corp., Great Ajax Corp., Great Ajax Corp.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockPlacement Shares, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 7 contracts
Samples: Sales Agreement (Akebia Therapeutics, Inc.), Array Biopharma (Array Biopharma Inc), Sales Agreement (Verastem, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company under applicable laws and regulations to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 7 contracts
Samples: Standby Equity Distribution Agreement (Omagine, Inc.), Equity Distribution Agreement (Supertel Hospitality Inc), Equity Distribution Agreement (Jag Media Holdings Inc)
Market Activities. The Company will not, directly or indirectly, : (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Stock; or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 7 contracts
Samples: Common Stock (Allarity Therapeutics, Inc.), Sales Agreement (BioSig Technologies, Inc.), Common Stock (Alzamend Neuro, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Distribution Agents.
Appears in 7 contracts
Samples: Aemetis, Inc, Spectrum Pharmaceuticals Inc, Aemetis, Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Distribution Agents.
Appears in 6 contracts
Samples: Sales Agreement (LIGHTBRIDGE Corp), Sales Agreement (HomeStreet, Inc.), Customers Bancorp, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than FBR.
Appears in 6 contracts
Samples: Galectin Therapeutics Inc, pSivida Corp., American Superconductor Corp /De/
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than BP.
Appears in 5 contracts
Samples: Vical Incorporated (Vical Inc), Sales Agreement (Microvision Inc), Vical Incorporated (Vical Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during the Stand Off Period, sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than BNYMCM.
Appears in 5 contracts
Samples: Sales Agency Financing Agreement (Washington Real Estate Investment Trust), Sales Agency Financing Agreement (Washington Real Estate Investment Trust), Sales Agency Financing Agreement (Washington Real Estate Investment Trust)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Sales Agents.
Appears in 5 contracts
Samples: Sales Agreement (Orbital Energy Group, Inc.), Sales Agreement (Scilex Holding Co), Sales Agreement (Scilex Holding Co)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than BNYCMI.
Appears in 5 contracts
Samples: Sales Agency Financing Agreement (Westar Energy Inc /Ks), Sales Agency Financing Agreement (Southwest Gas Corp), Standby Equity Distribution Agreement (New Plan Excel Realty Trust Inc)
Market Activities. The Company will not, directly or indirectly, : (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Stock; or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 4 contracts
Samples: Sales Agreement (ENDRA Life Sciences Inc.), ENDRA Life Sciences Inc., ENDRA Life Sciences Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the shares of Common Stock or (ii) sell, bid for for, or purchase the shares of Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockShares other than the Managers.
Appears in 4 contracts
Samples: Market Offering Agreement (India Globalization Capital, Inc.), At the Market Offering Agreement (India Globalization Capital, Inc.), The Market Offering Agreement (India Globalization Capital, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than FBR.
Appears in 4 contracts
Samples: Common Stock (Pacific Ethanol, Inc.), ITUS Corp, Parkervision Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the shares of Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 3 contracts
Samples: Sales Agreement (Cumberland Pharmaceuticals Inc), Gse Systems Inc, ViewRay, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 3 contracts
Samples: Sales Agreement (Avino Silver & Gold Mines LTD), Sales Agreement (Ampio Pharmaceuticals, Inc.), OVERSTOCK.COM, Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than BNYMCM.
Appears in 3 contracts
Samples: Sales Agency Agreement (Idaho Power Co), Sales Agency Agreement (Idacorp Inc), Sales Agency Agreement (Idacorp Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during any Stand Off Period sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common Stock.Shares other than ;
Appears in 3 contracts
Samples: Sales Agency Financing Agreement (Boston Properties Inc), Sales Agency Financing Agreement (Boston Properties Inc), Sales Agency Financing Agreement (Boston Properties Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during the Stand-Off Period, sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than BNYMCM.
Appears in 3 contracts
Samples: Sales Agency Agreement (Southwest Gas Holdings, Inc.), Sales Agency Agreement (Southwest Gas Holdings, Inc.), Sales Agency Agreement (Southwest Gas Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than Westpark.
Appears in 3 contracts
Samples: Common Stock (Houston American Energy Corp), Common Stock (Houston American Energy Corp), Common Stock (Houston American Energy Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Notes other than BRFBR.
Appears in 3 contracts
Samples: Magicjack Merger Agreement (B. Riley Financial, Inc.), Magicjack Merger Agreement (B. Riley Financial, Inc.), B. Riley Financial, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock to be issued and sold pursuant to this Agreement, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than Xxxxx.
Appears in 3 contracts
Samples: Sales Agreement (Trevena Inc), Sales Agreement (Trevena Inc), Sales Agreement (Trevena Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or Preferred Shares or (ii) sell, bid for for, or purchase the Common StockStock or Preferred Shares in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV.
Appears in 3 contracts
Samples: GreenHunter Energy, Inc., GreenHunter Energy, Inc., GreenHunter Renewable Power, LLC
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than Univest.
Appears in 3 contracts
Samples: Houston American Energy Corp, Houston American Energy Corp, Houston American Energy Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 2 contracts
Samples: Izea Worldwide (IZEA Worldwide, Inc.), Izea Worldwide (IZEA Worldwide, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, Stock in violation of Regulation M or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Distribution Agent.
Appears in 2 contracts
Samples: Holding Company (City Holding Co), Lakeland Bancorp Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Notes other than the Agents.
Appears in 2 contracts
Samples: Ladenburg Thalmann Financial Services (Ladenburg Thalmann Financial Services Inc.), Ladenburg Thalmann Financial Services (Ladenburg Thalmann Financial Services Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or Preferred Stock or (ii) sell, bid for for, or purchase the Common StockStock or Preferred Stock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV.
Appears in 2 contracts
Samples: Common Stock (Miller Energy Resources, Inc.), Anworth Mortgage Asset Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the shares of Common Stock or (ii) sell, bid for for, or purchase the shares of Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockShares other than the Manager.
Appears in 2 contracts
Samples: Market Offering Agreement (India Globalization Capital, Inc.), Terms Agreement (Cemtrex Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than Xxxxx Fargo.
Appears in 2 contracts
Samples: Sales Agency Financing Agreement (Mdu Resources Group Inc), Sales Agency Financing Agreement (Mdu Resources Group Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common StockStock during the Commitment Period, or (iii) pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Bioheart, Inc.), Equity Distribution Agreement (Omagine, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 2 contracts
Samples: Equity Distribution Agreement (Wherify Wireless Inc), Equity Distribution Agreement (Exobox Technologies Corp.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than FBR.
Appears in 2 contracts
Samples: Enphase Energy, Inc., Mannkind Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 2 contracts
Samples: Stereotaxis, Inc., Stereotaxis, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or Preferred Stock or (ii) sell, bid for for, or purchase the Common StockStock or Preferred Stock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 2 contracts
Samples: Chicken Soup for the Soul Entertainment, Inc., Chicken Soup for the Soul Entertainment, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent or Alternative Agent.
Appears in 2 contracts
Samples: Cherry Hill Mortgage Investment Corp, Cherry Hill Mortgage Investment Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase Common Stock in violation of Regulation M under the Common StockExchange Act, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Distribution Agents.
Appears in 2 contracts
Samples: Equity Distribution Agreement, Equity Distribution Agreement (First Foundation Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.Placement Shares other than the Agent.
Appears in 2 contracts
Samples: Sales Agreement (Cassava Sciences Inc), Pain Therapeutics Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during any Stand Off Period sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common Stock.Shares other xxxx Xxxxxxx Xxxxx;
Appears in 2 contracts
Samples: Sales Agency Financing Agreement (Boston Properties Inc), Sales Agency Financing Agreement (Avalonbay Communities Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase Common Stock in violation of Regulation M under the Common StockExchange Act, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 2 contracts
Samples: Sales Agreement (RAPT Therapeutics, Inc.), RAPT Therapeutics, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than NSC.
Appears in 2 contracts
Samples: Pedevco Corp, ITUS Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock in violation of Regulation M or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 2 contracts
Samples: Relypsa Inc, Relypsa Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for for, or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than the Agent.
Appears in 2 contracts
Samples: Aeglea BioTherapeutics, Inc., Aeglea BioTherapeutics, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during any Stand Off Period sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common Stock.Shares other than Xxxxxx Xxxxxxx;
Appears in 2 contracts
Samples: Sales Agency Financing Agreement, Sales Agency Financing Agreement (Boston Properties Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during any Stand Off Period sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common Stock.Shares other than BNYMCM;
Appears in 2 contracts
Samples: Sales Agency Financing Agreement (Boston Properties Inc), Sales Agency Financing Agreement (Avalonbay Communities Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Distribution Agent.
Appears in 2 contracts
Samples: Sales Agreement (LIGHTBRIDGE Corp), Unity Bancorp Inc /Nj/
Market Activities. The Company will not, directly or indirectly, : (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Stock; or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than Aegis.
Appears in 1 contract
Samples: Singing Machine Co Inc
Market Activities. The Company will not, directly or ----------------- indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than Stifel.
Appears in 1 contract
Samples: Conatus Pharmaceuticals Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 1 contract
Samples: Standby Equity Distribution Agreement (Alon USA Energy, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockStock under this Agreement.
Appears in 1 contract
Samples: Equity Distribution Agreement (Hydrogen Engine Center, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or Preferred Stock or (ii) sell, bid for for, or purchase the Common StockStock or Preferred Stock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than FBR.
Appears in 1 contract
Samples: Anworth Mortgage Asset Corp
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the share of Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Cumberland Pharmaceuticals Inc
Market Activities. The Company will not, directly or indirectly, (i) indirectly take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 1 contract
Samples: Reserve Equity Financing Agreement (INVO Bioscience, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock pursuant to this Agreement or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M or any other applicable law, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Paramount Gold & Silver Corp.
Market Activities. The Company has not and will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Sales Agreement (Durect Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Sales Agreement (Corbus Pharmaceuticals Holdings, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.. 18
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than BPSC.
Appears in 1 contract
Samples: Sales Agreement (Mannkind Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock, except for Red Rock Trading Partners, LLC in connection herewith.
Appears in 1 contract
Samples: Equity Distribution Agreement (Red Rock Pictures Holdings, Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) during the Stand-Off Period, sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than the Sales Agents.
Appears in 1 contract
Samples: Sales Agency Agreement (Southwest Gas Holdings, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) except as contemplated in the Prospectus, or disclosed in the Company’s reports filed with the Commission, sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares other than BNYMCM.
Appears in 1 contract
Samples: Sales Agency Financing Agreement (Great Plains Energy Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the shares of Common Stock or (ii) sell, bid for for, or purchase the shares of Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agents.
Appears in 1 contract
Samples: ChromaDex Corp.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockShares other than the Underwriter.
Appears in 1 contract
Samples: OVERSTOCK.COM, Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to would constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Securities other than the Agent.
Appears in 1 contract
Samples: B. Riley Financial, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Placement Shares other than the Agent, except for sales of Company Common StockStock held by Company Subsidiaries.
Appears in 1 contract
Samples: Sales Agreement (Biotime Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV or the Alternative Sales Agent.
Appears in 1 contract
Samples: Ligand Pharmaceuticals Inc
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase Common Stock in violation of Regulation M under the Common StockExchange Act, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Sales Agreement (Helius Medical Technologies, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock in violation of Regulation M, or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Market Activities. The Company will not, not (a) directly or indirectly, (i) indirectly take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Stock, or (iib) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.
Appears in 1 contract
Samples: Reserve Equity Financing Agreement (Global Earth Energy, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common Stock.Shares other than BNYCMI; and
Appears in 1 contract
Samples: Sales Agency Financing Agreement (Southwest Gas Corp)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock; provided that this shall not be construed to prevent the Company from engaging in a standard bonafide open-market stock buyback program if it should choose to do so.
Appears in 1 contract
Samples: Equity Distribution Agreement (China Automotive Systems Inc)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sellPlacement Shares; provided, bid for or purchase the however, that private purchases of shares of Class A Common Stock, or pay anyone any compensation for soliciting purchases of the Company’s RSUs or other rights to acquire shares of Class A Common Stock, shall not be restricted by this Section 7(p).
Appears in 1 contract
Samples: BGC Partners, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Shares or (ii) sell, bid for or purchase the Common StockShares, or pay anyone any compensation for soliciting purchases of the Common StockShares during a Selling Period other than the Agents.
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common Stock, or pay anyone any compensation for soliciting purchases Stock in violation of the Common Stock.Regulation M.
Appears in 1 contract
Samples: Ashford Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Sales Agent.
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, : (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock Stock; or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than WDCO.
Appears in 1 contract
Samples: Common Stock (DPW Holdings, Inc.)
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for or purchase the Common Stock, or pay anyone any compensation for soliciting purchases of the Common Stock.. CYIOS Corporation DEFA
Appears in 1 contract
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might reasonably be expected to constituteconstitutes, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or (ii) sell, bid for for, or purchase the Common StockStock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than the Agent.
Appears in 1 contract
Samples: Rekor Systems, Inc.
Market Activities. The Company will not, directly or indirectly, (i) take any action designed to cause or result in, or that constitutes or might would reasonably be expected to constitute, the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Common Stock or Preferred Stock or (ii) sell, bid for for, or purchase the Common StockStock or Preferred Stock in violation of Regulation M, or pay anyone any compensation for soliciting purchases of the Common StockPlacement Shares other than MLV.
Appears in 1 contract
Samples: Yuma Energy, Inc.
