No Association with FINRA. To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders except as set forth in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 5 contracts
Samples: Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.), Underwriting Agreement (Great Elm Capital Corp.)
No Association with FINRA. To the Company’s knowledge, there are no affiliations or associations between any member of FINRA and any of the Company’s officers, directors or 5% or greater security holders except as set forth in the Registration Statement, the General Disclosure Package Statement and the Prospectus.
Appears in 2 contracts
Samples: Dealer Manager Agreement (Great Elm Capital Corp.), Dealer Manager Agreement (Great Elm Capital Corp.)
No Association with FINRA. To the Company’s knowledge, there There are no affiliations or associations between any member of the FINRA and the Company; there are no affiliations or associations between (A) any member of the FINRA and (B) any of the Company’s officers, directors or 5% or greater security holders except as set forth in or any beneficial owner of the Company’s unregistered equity securities that were acquired at any time on or after the 180th day immediately preceding the date the Registration Statement, Statement was initially filed with the General Disclosure Package and the ProspectusCommission.
Appears in 2 contracts
Samples: Underwriting Agreement (Funtalk China Holdings LTD), Underwriting Agreement (Funtalk China Holdings LTD)
