No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 369 contracts
Samples: Securities Purchase Agreement (Solid Biosciences Inc.), Securities Purchase Agreement (SMG Industries Inc.), Securities Purchase Agreement (Local Bounti Corporation/De)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 51 contracts
Samples: Securities Purchase Agreement (Century Therapeutics, Inc.), Securities Purchase Agreement (Eliem Therapeutics, Inc.), Securities Purchase Agreement (Spire Global, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 17 contracts
Samples: Securities Purchase Agreement (Cti Industries Corp), Securities Purchase Agreement (Nephros Inc), Securities Purchase Agreement (Celator Pharmaceuticals Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD promulgated under the 0000 Xxx) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 11 contracts
Samples: Stock Purchase Agreement (Vaccinex, Inc.), Share Redemption and Exchange Agreement (Manning & Napier, Inc.), Share Redemption and Exchange Agreement (Manning & Napier, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 11 contracts
Samples: Securities Purchase Agreement (Sky Harbour Group Corp), Securities Purchase Agreement (Skye Bioscience, Inc.), Securities Purchase Agreement (X4 Pharmaceuticals, Inc)
No Directed Selling Efforts or General Solicitation. Neither Notwithstanding anything contained on any schedule hereto, neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 10 contracts
Samples: Purchase Agreement (Insmed Inc), Purchase Agreement (Viragen Inc), Purchase Agreement (Zix Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its or its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 8 contracts
Samples: Securities Purchase Agreement (COMMITTED CAPITAL ACQUISITION Corp), Securities Purchase Agreement (Lipocine Inc.), Securities Purchase Agreement (CombiMatrix Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 8 contracts
Samples: Stock Purchase Agreement (AtheroNova Inc.), Securities Purchase Agreement (International Fight League, Inc.), Securities Purchase Agreement (Jones Soda Co)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Twinlab Consolidated Holdings, Inc.), Registration Rights Agreement (Pieris Pharmaceuticals, Inc.), Subscription Agreement (InterWest Partners IX, LP)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the Securities Act) in connection with the offer or sale of any of the Purchased Securities.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Emerald Oil, Inc.), Securities Purchase Agreement (Emerald Oil, Inc.), Securities Purchase Agreement (Emerald Oil, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Affiliate, nor any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 8 contracts
Samples: Securities Purchase Agreement (Novelos Therapeutics, Inc.), Securities Purchase Agreement (Novelos Therapeutics, Inc.), Securities Purchase Agreement (Novelos Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 7 contracts
Samples: Securities Purchase Agreement (A21 Inc), Securities Purchase Agreement (Solexa, Inc.), Securities Purchase Agreement (Allos Therapeutics Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Placement Securities.
Appears in 6 contracts
Samples: Securities Purchase Agreement (Ocular Therapeutix, Inc), Securities Purchase Agreement (Prelude Therapeutics Inc), Securities Purchase Agreement (Baker Bros. Advisors Lp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to its knowledge, any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (Torchlight Energy Resources Inc), Securities Purchase Agreement (McCabe Greg)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD under the Securities Act) in connection with the offer or sale of any of the Securities.
Appears in 5 contracts
Samples: Common Stock and Warrant Purchase Agreement (Biocept Inc), Securities Purchase Agreement (Metabasis Therapeutics Inc), Securities Purchase Agreement (Favrille Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the Securities Act) in connection with the offer or sale of any of the Purchased Securities.
Appears in 5 contracts
Samples: Securities Purchase Agreement (FreightCar America, Inc.), Securities Purchase Agreement (Nn Inc), Securities Purchase Agreement (Velocity Financial, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD under the Securities Act) in connection with the offer or sale of any of the Securities.
Appears in 5 contracts
Samples: Common Stock and Warrant Purchase Agreement (Ats Medical Inc), Common Stock and Warrant Purchase Agreement (Sunesis Pharmaceuticals Inc), Common Stock and Warrant Purchase Agreement (Ats Medical Inc)
No Directed Selling Efforts or General Solicitation. Neither --------------------------------------------------- the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 5 contracts
Samples: Purchase Agreement (Lifecell Corp), Purchase Agreement (Locateplus Holdings Corp), Purchase Agreement (Boston Life Sciences Inc /De)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DS) in connection with the offer or sale of any of the SecuritiesNote.
Appears in 5 contracts
Samples: Note Purchase Agreement (Arkanova Energy Corp.), Note Purchase Agreement (Arkanova Energy Corp.), Conversion and Loan Modification Agreement (Arkanova Energy Corp.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person individual, firm, corporation, partnership, limited liability company, trust, incorporated or unincorporated association, joint venture, joint stock company, governmental entity of any kind (a “Person”) acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesMerger Consideration.
Appears in 4 contracts
Samples: Agreement and Plan of Merger (Rubicon Financial Inc), Agreement and Plan of Merger (Issg, Inc.), Agreement and Plan of Merger (Rubicon Financial Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to its knowledge, any Person person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 4 contracts
Samples: Subscription Agreement (Generation Hemp, Inc.), Subscription Agreement (Generation Hemp, Inc.), Subscription Agreement (Generation Hemp, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesNotes.
Appears in 4 contracts
Samples: Subordination Agreement (Overland Storage Inc), Subordination Agreement (Overland Storage Inc), Securities Purchase Agreement (Toledano Udi)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Closing Securities.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Innovate Biopharmaceuticals, Inc.), Securities Purchase Agreement (Aileron Therapeutics Inc), Securities Purchase Agreement (Spring Bank Pharmaceuticals, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares. The Company has offered the Shares for sale only to the Investors and certain other “accredited investors” within the meaning of Rule 501 under the 1933 Act.
Appears in 4 contracts
Samples: Securities Purchase Agreement (Inseego Corp.), Securities Purchase Agreement (Inseego Corp.), Securities Purchase Agreement (ASTROTECH Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 4 contracts
Samples: Share Purchase Agreement (Netlist Inc), Share Purchase Agreement (Netlist Inc), Subscription Agreement (Celladon Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor, to the knowledge of the Company, any Affiliate of the Company, nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD under the Securities Act) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp), Stock Purchase Agreement (Velocity Express Corp)
No Directed Selling Efforts or General Solicitation. Neither the --------------------------------------------------- Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Exchange Agreement (Amerigon Inc), Purchase Agreement (Amerigon Inc), Purchase Agreement (Amerigon Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any of its Subsidiaries nor any Person acting on its their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Closing Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Entasis Therapeutics Holdings Inc.), Securities Purchase Agreement (Innoviva, Inc.), Securities Purchase Agreement (Selecta Biosciences Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Rule 506 of Regulation D (“Regulation D”)) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 3 contracts
Samples: Subscription Agreement (Trunity Holdings, Inc.), Subscription Agreement (Pan-African Investment Company, LLC), Subscription Agreement (Trunity Holdings, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Purchase Agreement (Antares Pharma Inc), Common Stock and Warrant Purchase Agreement (Bioenvision Inc), Purchase Agreement (Antares Pharma Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any of its Subsidiaries nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Centogene N.V.), Securities Purchase Agreement (Merus N.V.), Securities Purchase Agreement (Selecta Biosciences Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to the Company’s Knowledge, any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (Soleno Therapeutics Inc), Securities Purchase Agreement (GTX Inc /De/)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD under the Securities Act) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 3 contracts
Samples: Common Stock Purchase Agreement (Intraop Medical Corp), Common Stock Purchase Agreement (Intraop Medical Corp), Common Stock Purchase Agreement (Intraop Medical Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD promulgated under the 1933 Act) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Inhibrx, Inc.), Securities Purchase Agreement (Taysha Gene Therapies, Inc.), Securities Purchase Agreement (UroGen Pharma Ltd.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person individual or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 3 contracts
Samples: Stock Purchase Agreement (Talon Therapeutics, Inc.), Stock Purchase Agreement (Spectrum Pharmaceuticals Inc), Stock Purchase Agreement (Bluefly Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the Securities Act) in connection with the offer or sale of any of the SecuritiesPurchased Shares.
Appears in 3 contracts
Samples: Share Purchase Agreement (Swift Energy Co), Share Purchase Agreement (Strategic Value Partners, LLC), Share Purchase Agreement (Columbus McKinnon Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to its knowledge, any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Purchase Agreement (Sunrise Technologies International Inc), Purchase Agreement (Avi Biopharma Inc), Purchase Agreement (Avi Biopharma Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any Person acting on its behalf of the Company has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (World Heart Corp), Securities Purchase Agreement (World Heart Corp), Securities Purchase Agreement (World Heart Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the 0000 Xxx) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Employee and Consultant Share Purchase Agreement (Dthera Sciences), Investment Unit Purchase Agreement (Dthera Sciences), Securities Purchase Agreement (Summer Energy Holdings Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Purchased Securities.
Appears in 3 contracts
Samples: Subscription and Purchase Agreement (Clearant Inc), Purchase Agreement (Comprehensive Care Corp), Purchase Agreement (Comprehensive Care Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any Person acting on its or their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Save the World Air Inc), Securities Purchase Agreement (Save the World Air Inc), Securities Purchase Agreement (Save the World Air Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities. The Company has offered the Securities for sale only to the Investors and certain other “accredited investors” (as such term is used in Regulation D).
Appears in 3 contracts
Samples: Purchase Agreement (Celsion CORP), Purchase Agreement (Celsion CORP), Purchase Agreement (Celsion CORP)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesSecurities or the Other Offering.
Appears in 2 contracts
Samples: Purchase Agreement (Alanco Technologies Inc), 99.1 Purchase Agreement (Alanco Technologies Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Affiliate, nor any Person acting on its behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Molecular Insight Pharmaceuticals, Inc.), Securities Purchase Agreement (Molecular Insight Pharmaceuticals, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, Parent nor any Person acting on its either of their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Investment and Transaction Agreement (Pointer Telocation LTD), Investment and Transaction Agreement (Id Systems Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Krystal Biotech, Inc.), Share Purchase Agreement (Asana, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used advertising, including methods described in Section 502(c) of Regulation D) D under the Securities Act, in connection with the offer or sale of any Shares or Warrants, and neither the Company nor any person acting on its behalf offered any of the SecuritiesShares or Warrants in a manner involving a public offering under, or in a distribution in violation of, the Securities Act or any state securities laws.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Outlook Therapeutics, Inc.), Securities Purchase Agreement (Outlook Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DS) in connection with the offer or sale of any of the Securities.Notes;
Appears in 2 contracts
Samples: Note Purchase Agreement (Arkanova Energy Corp), Note Purchase Agreement (Arkanova Energy Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to the Company’s Knowledge, any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Sonim Technologies Inc), Securities Purchase Agreement (Sonim Technologies Inc)
No Directed Selling Efforts or General Solicitation. Neither None of the Company Company, the Seller nor any Person acting on its behalf of any of them has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the Securities Act) in connection with the offer or sale of any of the SecuritiesPurchased Shares.
Appears in 2 contracts
Samples: Share Purchase Agreement (TPG Group Holdings (SBS) Advisors, Inc.), Share Purchase Agreement (Atlas Holdings, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD of the Commission) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Feinberg Larry N), Securities Purchase Agreement (Hansen Medical Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesNotes, the Conversion Shares or Payment Shares.
Appears in 2 contracts
Samples: Convertible Secured Note Purchase Agreement (Photogen Technologies Inc), Convertible Secured Note Purchase Agreement (Alliance Pharmaceutical Corp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD as promulgated by the SEC under the 1933 Act) in connection with the offer or sale of any of the Placement Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Arvinas, Inc.), Securities Purchase Agreement (Establishment Labs Holdings Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Miv Therapeutics Inc), Securities Purchase Agreement (I-Level Media Group Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor to the Company’s Knowledge any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesUnits.
Appears in 2 contracts
Samples: Securities Purchase Agreement (American Virtual Cloud Technologies, Inc.), Securities Purchase Agreement (American Virtual Cloud Technologies, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation DD promulgated under the Securities Act) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Institutional Financial Markets, Inc.), Securities Purchase Agreement (Institutional Financial Markets, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any Person of its affiliates, nor any person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 2 contracts
Samples: Neah Power (Neah Power Systems, Inc.), Stock Purchase Agreement (Clearant Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesPurchased Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (BridgeBio Pharma, Inc.), Share Purchase Agreement (2seventy Bio, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor its subsidiaries nor any Person acting on its or their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Skye Bioscience, Inc.), Securities Purchase Agreement (vTv Therapeutics Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securitiessecurities offered hereby.
Appears in 2 contracts
Samples: Securities Purchase Agreement (National Holdings Corp), Securities Purchase Agreement (St Cloud Capital Partners Lp)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Exchange Agreement, Exchange Agreement (Hansen Medical Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesPreferred Stock or Warrants.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Flyexclusive Inc.), Securities Purchase Agreement (Harpoon Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesCommon Shares.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Illumina Inc), Securities Purchase Agreement (Solexa, Inc.)
No Directed Selling Efforts or General Solicitation. In connection with the offer or sale of any of the Shares Neither the Company nor any Person acting on its behalf has conducted (a) any general solicitation or general advertising (as those terms are used in Regulation D promulgated by the SEC (“Regulation D”)), or (b) any direct selling efforts (as that term is used in connection with the offer or sale of any of the SecuritiesRegulation S).
Appears in 2 contracts
Samples: Stock Purchase and Settlement Agreement (Al Yousuf LLC), Stock Purchase and Settlement Agreement (Altair Nanotechnologies Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor its Subsidiary nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Lyra Therapeutics, Inc.), Securities Purchase Agreement (Lyra Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities. The Company has offered the Securities for sale only to the Investors.
Appears in 2 contracts
Samples: Securities Purchase Agreement (General Atlantic, L.P.), Securities Purchase Agreement (Immunocore Holdings PLC)
No Directed Selling Efforts or General Solicitation. Neither the Company Buyer nor any Person of its affiliates, nor any person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 2 contracts
Samples: Agreement and Plan of Merger (Neah Power Systems, Inc.), Agreement and Plan of Merger (Neah Power Systems, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities; provided, however, that no representation or warranty shall be deemed made hereby with respect to action taken by the Placement Agent or any agent or representative thereof.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Olympus Pacific Minerals Inc), Securities Purchase Agreement (Olympus Pacific Minerals Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to the Company’s Knowledge, any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares or the Warrants.
Appears in 2 contracts
Samples: Purchase Agreement (Storm Cat Energy CORP), Form of Purchase Agreement (Storm Cat Energy CORP)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares. The Company has offered the Shares for sale only to the Purchaser.
Appears in 2 contracts
Samples: Common Stock Purchase Agreement (G42 Investments AI Holdings RSC Ltd.), Common Stock Purchase Agreement (vTv Therapeutics Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 2 contracts
Samples: Registration Rights Agreement (Photogen Technologies Inc), Common Stock Purchase Agreement (Photogen Technologies Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD promulgated under the Securities Act) in connection with the offer or sale of any shares of the SecuritiesCommon Stock.
Appears in 2 contracts
Samples: Stock Purchase Agreement (Basin Water, Inc.), Stock Purchase Agreement (Empire Water CORP)
No Directed Selling Efforts or General Solicitation. Neither --------------------------------------------------- the Company nor nor, to its knowledge, any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Purchase Agreement (Imaginon Inc /De/), Purchase Agreement (Imaginon Inc /De/)
No Directed Selling Efforts or General Solicitation. Neither the Company nor its Subsidiary nor any Person acting on its their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Closing Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Immunic, Inc.), Securities Purchase Agreement (Ayala Pharmaceuticals, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares or Warrants.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Adverum Biotechnologies, Inc.), Securities Purchase Agreement (Harpoon Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to the Company’s knowledge, any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Pulse Biosciences, Inc.), Securities Purchase Agreement (Pulse Biosciences, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any of its Subsidiaries nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Closing Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Selecta Biosciences Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Affiliate, nor to the Company’s Knowledge, any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesPurchased Shares or Pre-Funded Warrants.
Appears in 1 contract
Samples: Securities Purchase Agreement (Kymera Therapeutics, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf (other than the Placement Agent, as to which no representation is being made) has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.. 5.27
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesPurchased ADSs.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company Genaissance nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
Samples: Note and Warrant Purchase Agreement (Genaissance Pharmaceuticals Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares or Warrants.
Appears in 1 contract
Samples: Warrant and Common Stock Purchase Agreement (Enova Systems Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor its subsidiaries nor any Person acting on its or their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.. 4.21
Appears in 1 contract
Samples: Securities Purchase Agreement (Skye Bioscience, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, the Parent nor any Person acting on its behalf of the Company or the Parent has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Ivivi Technologies, Inc.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor TableMAX, nor any of their respective Affiliates, nor any Person acting on its or their behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities and the Adjustment Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor to the Company’s Knowledge any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesDebentures.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DS) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its or its behalf has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (Hoku Scientific Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.in
Appears in 1 contract
Samples: Purchase Agreement (Goamerica Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company Company, nor, to the Company’s Knowledge, any Affiliate of the Company, nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD under the Securities Act) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Subsidiary nor any Person acting on its their behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any of its Subsidiaries nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation D) in connection with the offer offer, grant or sale of issuance any of the SecuritiesWarrants or Warrant Shares.
Appears in 1 contract
Samples: Warrant Agreement (Centogene N.V.)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to the Company’s Knowledge, any Person acting on its behalf behalf, has conducted any “general solicitation solicitation” or “general advertising advertising” (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
Samples: Purchase Agreement (Exploration Co of Delaware Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor nor, to its knowledge, any Person acting on its behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Torchlight Energy Resources Inc)
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD promulgated under the 1000 Xxx) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
No Directed Selling Efforts or General Solicitation. Neither the Company nor any Person person or entity acting on its behalf has conducted any general solicitation or general advertising (as those terms are used in Regulation DD promulgated under the Securities Act) in connection with the offer or sale of any of the Securities.
Appears in 1 contract
Samples: Securities Purchase Agreement (Trikon Technologies Inc)
No Directed Selling Efforts or General Solicitation. Neither ---------------------------------------------------- the Company Company, nor any of its Affiliates, nor any Person acting on its or their behalf has conducted any "general solicitation solicitation" or "general advertising advertising" (as those terms are used in Regulation D) in connection with the offer or sale of any of the SecuritiesShares.
Appears in 1 contract
Samples: Securities Purchase Agreement (DigitalFX International Inc)
