Common use of No FINRA Affiliations Clause in Contracts

No FINRA Affiliations. Except as disclosed to the Representative in writing, there is no: (1) officer or director of the Company or its subsidiaries, (2) beneficial owner of 5% or more of any class of the Company’s securities or (3) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative if it becomes aware that any of the persons referred to in clauses (1), (2) or (3) of the immediately preceding sentence is or becomes an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder.

Appears in 9 contracts

Samples: Underwriting Agreement (Brickell Biotech, Inc.), Underwriting Agreement (UpHealth, Inc.), Underwriting Agreement (UpHealth, Inc.)

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No FINRA Affiliations. Except as disclosed to the Representative Representatives in writing, there is no: (1A) officer or director of the Company or its subsidiaries, (2B) beneficial owner of 5% or more of any class of the Company’s securities or (3C) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative Representatives if it becomes aware that any of the persons referred to in clauses (1A), (2B) or (3C) of the immediately preceding sentence is or becomes an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder.

Appears in 4 contracts

Samples: Underwriting Agreement (Reebonz Holding LTD), Underwriting Agreement (Digirad Corp), Underwriting Agreement (Reebonz Holding LTD)

No FINRA Affiliations. Except as disclosed to the Representative in writing, there is no: (1) officer or director of the Company or its subsidiariesCompany, (2) beneficial owner of 5% or more of any class of the Company’s securities or (3) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative if it becomes aware that any of the persons referred to in clauses (1), (2) or (3) of the immediately preceding sentence is or becomes an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder.

Appears in 3 contracts

Samples: Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp), Underwriting Agreement (PepperLime Health Acquisition Corp)

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No FINRA Affiliations. Except as disclosed to the Representative in writing, there is no: (1A) officer or director of the Company or its subsidiaries, (2B) beneficial owner of 5% or more of any class of the Company’s securities or (3C) beneficial owner of the Company’s unregistered equity securities which were acquired during the 180-day period immediately preceding the filing of the Registration Statement that is an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder (as determined in accordance with the rules and regulations of FINRA). The Company will advise the Representative if it becomes aware that any of the persons referred to in clauses (1A), (2B) or (3C) of the immediately preceding sentence is or becomes an affiliate or associated person of a FINRA member participating in the public offering contemplated hereunder.

Appears in 3 contracts

Samples: Underwriting Agreement (BioNano Genomics, Inc), Underwriting Agreement (BioNano Genomics, Inc), Underwriting Agreement (Shotspotter, Inc)

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