No FINRA Affiliations. Except as described in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, to the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day period prior to the Filing Date, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any officer, director of the Company or its subsidiaries or any owner of 5% or more of any class of the Company’s securities is or becomes an affiliate or associated person of a FINRA member participating in the offering.
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Samples: Underwriting Agreement (Hoth Therapeutics, Inc.), Underwriting Agreement (PCI Media, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.)
No FINRA Affiliations. Except To the Company’s knowledge and except as described in the Registration Statement, the The Time of Sale Disclosure Package and or the Final Prospectus, to the Company’s knowledge and except as Prospectus or disclosed to the Representative in writing, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 5% or more of any class of the Company’s securities or (iii) owner of any amount of the Company’s unregistered securities acquired within the 180-day period prior to the Filing Date, has any direct or indirect affiliation or association with any FINRA member. The Company will advise the Representative and counsel to the Underwriters if it becomes aware that any officer, director of the Company or its subsidiaries or any owner of 5% or more of any class of the Company’s securities is or becomes an affiliate or associated person of a FINRA member participating in the offering.
Appears in 1 contract
