No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or (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 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 20 contracts
Samples: Underwriting Agreement (bioAffinity Technologies, Inc.), Underwriting Agreement (bioAffinity Technologies, Inc.), Underwriting Agreement (bioAffinity Technologies, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (iA) officer or director of the Company or (iiB) owner of 5% or more of any class of the Company’s securities or (iiiC) 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 Underwriter if it becomes aware that any officer, director of the Company 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 14 contracts
Samples: Underwriting Agreement (60 Degrees Pharmaceuticals, Inc.), Underwriting Agreement (RanMarine Technology B.V.), Underwriting Agreement (60 Degrees Pharmaceuticals, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 11 contracts
Samples: Underwriting Agreement (Mobiquity Technologies, Inc.), Underwriting Agreement (Mobiquity Technologies, Inc.), Underwriting Agreement (Mobiquity Technologies, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or (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 Underwriter if it becomes aware that any officer, director of the Company 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 9 contracts
Samples: Underwriting Agreement (BullFrog AI Holdings, Inc.), Underwriting Agreement (BullFrog AI Holdings, Inc.), Underwriting Agreement (BullFrog AI Holdings, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriter and counsel to the Underwriters Underwriter 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 9 contracts
Samples: Underwriting Agreement (REE Automotive Ltd.), Underwriting Agreement (Hour Loop, Inc), Underwriting Agreement (Hour Loop, Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Representative 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 4 contracts
Samples: Massimo Group (Massimo Group), Underwriting Agreement (Massimo Group), Underwriting Agreement (Massimo Group)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 510% 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 510% 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 4 contracts
Samples: Underwriting Agreement (ASP Isotopes Inc.), Underwriting Agreement (ASP Isotopes Inc.), Underwriting Agreement (SinglePoint Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Representatives 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 3 contracts
Samples: Underwriting Agreement (Nocera, Inc.), Underwriting Agreement (Nocera, Inc.), Underwriting Agreement (Nocera, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Representatives and counsel to the Underwriters if it becomes aware that any officer, officer or 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 3 contracts
Samples: Underwriting Agreement (Frankly Inc), Underwriting Agreement (Frankly Inc), Underwriting Agreement (Frankly Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writing, no (i) officer or director of the Company or Company, (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 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 3 contracts
Samples: Atomera Incorporated (Atomera Inc), Underwriting Agreement (Asv Holdings, Inc.), Underwriting Agreement (A.S.V., LLC)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 510% 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 Xxxx Capital and counsel to the Underwriters Underwriter if it becomes aware that any officer, director of the Company or its subsidiaries or any owner of 510% 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 2 contracts
Samples: Underwriting Agreement (Falconstor Software Inc), Underwriting Agreement (Falconstor Software Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or any of its Subsidiaries, (ii) owner of 510% 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 any of its Subsidiaries or any owner of 510% 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 2 contracts
Samples: Underwriting Agreement (Verdant Earth Technologies LTD), Underwriting Agreement (Verdant Earth Technologies LTD)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or its subsidiaries, (ii) owner of 510% 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 Rxxx Capital and counsel to the Underwriters Underwriter if it becomes aware that any officer, director of the Company or its subsidiaries or any owner of 510% 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 2 contracts
Samples: Underwriting Agreement (Falconstor Software Inc), Underwriting Agreement (Falconstor Software Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriter and counsel to the Underwriters Underwriter 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 offeringoffering of the Shares.
Appears in 2 contracts
Samples: Underwriting Agreement (FlexEnergy Green Solutions, Inc.), Underwriting Agreement (FlexEnergy Green Solutions, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriter and counsel to the Underwriters Underwriter 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 2 contracts
Samples: Underwriting Agreement (Austin Gold Corp.), Underwriting Agreement (Fathom Holdings Inc.)
No FINRA Affiliations. To the Company’s knowledge and except Except as disclosed to the Representative in writing, to the Company’s knowledge, no (iA) officer or director of the Company or its subsidiaries, (iiB) owner of 5% or more of any class of the Company’s securities or (iiiC) owner of any amount of the Company’s unregistered equity 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 equity securities is or becomes an affiliate or associated person of a FINRA member participating in the offeringoffering contemplated by this Agreement.
Appears in 2 contracts
Samples: Underwriting Agreement (ACM Research, Inc.), Underwriting Agreement (ACM Research, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriter 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 2 contracts
Samples: Underwriting Agreement (Giga Tronics Inc), Underwriting Agreement (Giga Tronics Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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, officer or 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 2 contracts
Samples: Underwriting Agreement (Frankly Inc), Underwriting Agreement (Frankly Inc)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriters 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 2 contracts
Samples: Underwriting Agreement (Fathom Holdings Inc.), Underwriting Agreement (Fathom Holdings Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Representative 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 2 contracts
Samples: Underwriting Agreement (Austin Gold Corp.), Underwriting Agreement (Austin Gold Corp.)
No FINRA Affiliations. To the Company’s knowledge and except Except as disclosed to the Representative in writing, to the Company’s knowledge, no (iA) officer or director of the Company or its subsidiaries; (iiB) owner of 5% or more of any class of the Company’s securities securities; or (iiiC) owner of any amount of the Company’s unregistered equity 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 equity securities is or becomes an affiliate or associated person of a FINRA member participating in the offeringoffering contemplated by this Agreement.
Appears in 1 contract
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or its subsidiaries, (ii) beneficial 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 Underwriter and counsel to the Underwriters Underwriter 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
Samples: Underwriting Agreement (Iridex Corp)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) no 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 offeringmember.
Appears in 1 contract
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or any of 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 Representatives and counsel to the Underwriters if it becomes aware that any officer, director of the Company or any of 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
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Representatives in writing, no (i) officer or director of the Company or (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 Representatives and counsel to the Underwriters if it becomes aware that any officer, director of the Company 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
Samples: Underwriting Agreement (Lixte Biotechnology Holdings, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or any of 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 any of 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
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, no (i) officer or director of the Company or any of its subsidiaries, (ii) owner of 510% 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 Xxxx Capital and counsel to the Underwriters Underwriter if it becomes aware that any officer, director of the Company or any of its subsidiaries or any owner of 510% 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
No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative in writingknowledge, 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 Underwriter and counsel to the Underwriters Underwriter 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 offeringOffering.
Appears in 1 contract
Samples: Underwriting Agreement (FlexEnergy Green Solutions, Inc.)
No FINRA Affiliations. To the Company’s knowledge and except Except as disclosed to the Representative in writing, to the Company’s knowledge, no (i) officer or director of the Company or Company, (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 Underwriters and counsel to the Underwriters if it becomes aware that any officer, director of the Company 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
Samples: Reed's, Inc.
