Common use of No FINRA Affiliations Clause in Contracts

No FINRA Affiliations. To the Company’s knowledge, no (i) officer or director of the 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 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 6 contracts

Samples: Underwriting Agreement (Myomo Inc), Underwriting Agreement (Myomo Inc), Underwriting Agreement (SenesTech, Inc.)

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No FINRA Affiliations. To the Company’s knowledge, no (i) officer or director of the 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 Underwriters Underwriter 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 5 contracts

Samples: Underwriting Agreement (Reed's, Inc.), Underwriting Agreement (Reed's, Inc.), Underwriting Agreement (Reed's, Inc.)

No FINRA Affiliations. To the Company’s knowledge, no (i) officer or director of the 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 Underwriters 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 4 contracts

Samples: Underwriting Agreement (Cariloha, Inc.), Underwriting Agreement (Crown Electrokinetics Corp.), Underwriting Agreement (Crown Electrokinetics Corp.)

No FINRA Affiliations. To the Company’s knowledge, no (iA) officer or director of the Company, (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 Underwriters 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: Underwriting Agreement (Lovesac Co), Underwriting Agreement (Lovesac Co), Underwriting Agreement (Lovesac Co)

No FINRA Affiliations. To the Company’s knowledge, no (iA) officer or director of the CompanyCompany 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 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 Underwriters Underwriter 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 offeringoffering of the Shares.

Appears in 2 contracts

Samples: Underwriting Agreement (Oragenics Inc), Underwriting Agreement (Mohawk Group Holdings, Inc.)

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No FINRA Affiliations. To the Company’s knowledge, no (i) officer or director of the Company, (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 Underwriters Underwriter and counsel to the Underwriters Underwriter if it becomes aware that any officer, director of the Company 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 (Guerrilla RF, Inc.), Underwriting Agreement (NFT Gaming Co Inc.)

No FINRA Affiliations. To the Company’s knowledge, no (i) officer or director of the 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 Underwriters Underwriter and counsel to the Underwriters Underwriter if it becomes aware that any officer, director of the Company or any subsidiary 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 (Loop Industries, Inc.)

No FINRA Affiliations. To the Company’s knowledge, no (iA) officer or director of the CompanyCompany 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 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 Underwriters 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 offeringoffering of the Shares.

Appears in 1 contract

Samples: Underwriting Agreement (Mohawk Group Holdings, Inc.)

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