NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 127 contracts
Samples: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Warrant Agreement (Restaurant Acquisition Partners, Inc.)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 96 contracts
Samples: Underwriting Agreement (Camden Learning CORP), Underwriting Agreement (Camden Learning CORP), Underwriting Agreement (Rand Acquisition Corp. II)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 34 contracts
Samples: Underwriting Agreement (Beverage Acquisition CORP), Underwriting Agreement (InterAmerican Acquisition Group Inc), Underwriting Agreement (InterAmerican Acquisition Group Inc)
NASD. The During the period of the distribution of the Public Securities, the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 21 contracts
Samples: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Highbury Financial Inc), Underwriting Agreement (Shermen WSC Acquisition Corp)
NASD. The Company shall advise the NASD if it is aware that any Initial Stockholder or any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 18 contracts
Samples: Underwriting Agreement (Stoneleigh Partners Acquisition Corp.), Underwriting Agreement (Stoneleigh Partners Acquisition Corp.), Underwriting Agreement (Good Harbor Partners Acquisition Corp)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public ’s Securities.
Appears in 14 contracts
Samples: Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Argyle Security Acquisition CORP)
NASD. The During the period of the distribution of the Securities, the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public ’s Securities.
Appears in 7 contracts
Samples: Underwriting Agreement (Federal Services Acquisition CORP), Underwriting Agreement (Oracle Healthcare Acquisition Corp.), Underwriting Agreement (Acquicor Technology Inc)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder shareholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 6 contracts
Samples: Underwriting Agreement (China Discovery Acquisition Corp.), Underwriting Agreement (China Fortune Acquisition Corp.), Underwriting Agreement (China Discovery Acquisition Corp.)
NASD. The Company shall advise the NASD if it is aware that any five percent (5% %) or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 5 contracts
Samples: Underwriting Agreement (2020 ChinaCap Acquirco, Inc.), Underwriting Agreement (2020 ChinaCap Acquirco, Inc.), Underwriting Agreement (2020 ChinaCap Acquirco, Inc.)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 4 contracts
Samples: Underwriting Agreement (Star Maritime Acquisition Corp.), Underwriting Agreement (Star Maritime Acquisition Corp.), Underwriting Agreement (Star Maritime Acquisition Corp.)
NASD. The During the period of the distribution of the Public Securities, the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 4 contracts
Samples: Warrant Agreement (Treehouse Partners CORP), Underwriting Agreement (MDC Acquisition Partners, Inc.), Underwriting Agreement (Ad.Venture Partners, Inc.)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder shareholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Hambrecht Asia Acquisition Corp.), Underwriting Agreement (Seanergy Maritime Corp.), Underwriting Agreement (Seanergy Maritime Corp.)
NASD. The Company shall advise the NASD Representative if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Fusion Telecommunications International Inc), Underwriting Agreement (Gigabeam Corp), Underwriting Agreement (Gigabeam Corp)
NASD. The Company shall advise the NASD if it is aware that any Initial Stockholder or any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 3 contracts
Samples: Underwriting Agreement (Juniper Partners Acquisition Corp.), Underwriting Agreement (Juniper Partners Acquisition Corp.), Underwriting Agreement (Juniper Partners Acquisition Corp.)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities or any Incentive Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Alpha Security Group CORP), Underwriting Agreement (Alpha Security Group CORP)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities. 3.23.
Appears in 2 contracts
Samples: Underwriting Agreement (Star Maritime Acquisition Corp.), Underwriting Agreement (Star Maritime Acquisition Corp.)
NASD. The Until the completion of the distribution the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public ’s Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (General Finance CORP), Underwriting Agreement (General Finance CORP)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution in the Offering. In the event any person or entity (regardless of any NASD association or affiliation) is engaged to assist the Company in its search for a merger candidate or to provide any other merger and acquisition services, the following will be provided to the NASD prior to consummation of the Company's Public Securities.transaction:
Appears in 2 contracts
Samples: Underwriting Agreement (Grout Dianna), Underwriting Agreement (Unity Emerging Technology Venture One LTD)
NASD. The Company shall advise the NASD and the Representatives if it is becomes aware that any 5% or greater stockholder of the Company (other than the Sponsor) becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities or any Incentive Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Dekania Corp.), Underwriting Agreement (Dekania Corp.)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 2 contracts
Samples: Underwriting Agreement (Alpha Security Group CORP), Underwriting Agreement (Alpha Security Group CORP)
NASD. The During the period of the distribution of the Securities, the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 1 contract
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities’s securities.
Appears in 1 contract
Samples: Underwriting Agreement (InterAmerican Acquisition Group Inc)
NASD. The Company shall advise the NASD if it is aware that any 5% or greater stockholder shareholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.. Maxim Group LLC September 24, 2007 Page 27 of 45
Appears in 1 contract
NASD. The During the period of the distribution of the Offering Securities, the Company shall advise the NASD if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Offering Securities.
Appears in 1 contract
NASD. The Company shall advise the NASD Representative if it is aware that any 5% or greater stockholder of the Company becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's ’s Public Securities.
Appears in 1 contract
Samples: Underwriting Agreement (American Telecom Services Inc)
NASD. The Company shall advise the Representative for communication to the NASD if it the Company is or becomes aware that any 5% or greater stockholder of the Company is or becomes an affiliate or associated person of an NASD member participating in the distribution of the Company's Public Securities.
Appears in 1 contract
Samples: Underwriting Agreement (Viragen Inc)
