Common use of No FINRA Affiliations Clause in Contracts

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 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 28 contracts

Samples: Underwriting Agreement (Lytus Technologies Holdings PTV. Ltd.), Underwriting Agreement (Lytus Technologies Holdings PTV. Ltd.), Underwriting Agreement (Lytus Technologies Holdings PTV. Ltd.)

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No FINRA Affiliations. To Except for Lxxxxxx Xxxxxxx, a director of the Company, 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 its 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 4 contracts

Samples: Underwriting Agreement (Vivos Therapeutics, Inc.), Underwriting Agreement (Vivos Therapeutics, Inc.), Underwriting Agreement (Vivos Therapeutics, Inc.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Underwriter 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 Underwriter and counsel to the Underwriters Underwriter 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 4 contracts

Samples: Underwriting Agreement (Mabvax Therapeutics Holdings, Inc.), Underwriting Agreement (Mabvax Therapeutics Holdings, Inc.), Underwriting Agreement (Mabvax Therapeutics Holdings, 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 its subsidiaries, ; (ii) owner of 5% or more of any class of the Company’s securities 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 3 contracts

Samples: Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.), Underwriting Agreement (Real Goods Solar, Inc.)

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 membermember that the Company knows is participating in the offering. 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 that the Company knows is participating in the offering.

Appears in 2 contracts

Samples: Underwriting Agreement (Delcath Systems, Inc.), Underwriting Agreement (Delcath Systems, 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 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 Participating FINRA memberMember. 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 2 contracts

Samples: Underwriting Agreement (Roma Green Finance LTD), Underwriting Agreement (Roma Green Finance LTD)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Placement Agent 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 Placement Agent and counsel to the Underwriters Placement Agent 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: Placement Agency Agreement (Quest Resource Holding Corp), Placement Agency Agreement (Ocean Power 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 its subsidiariessubsidiary, (ii) owner of 510% or more of any class of the Company’s securities 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 Participating FINRA memberMember. 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 subsidiary 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

Samples: Underwriting Agreement (Junee LTD)

No FINRA Affiliations. To the Company’s knowledge and except knowledge, other than as disclosed to a result of the Representative Distribution (as defined in writingthe Registration Statement), 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 1 contract

Samples: Underwriting Agreement (Montauk Renewables, Inc.)

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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 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 1 contract

Samples: Underwriting Agreement (Mabvax Therapeutics Holdings, Inc.)

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 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 1 contract

Samples: Underwriting Agreement (Ocean Power Technologies, Inc.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Underwriter 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 Underwriters and their 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

Samples: Underwriting Agreement (Fennec Pharmaceuticals 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 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 Datedate of this Agreement, 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

Samples: Underwriting Agreement (Venus Concept Inc.)

No FINRA Affiliations. To the Company’s knowledge and except as disclosed to the Representative Underwriter 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 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 (Cherokee Inc)

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