Not an Ineligible Issuer. (1) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 13 contracts
Samples: Placement Agency Agreement (Delcath Systems, Inc.), Placement Agency Agreement (MDRNA, Inc.), Placement Agency Agreement (MDRNA, Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act).
Appears in 11 contracts
Samples: Underwriting Agreement (Miller Energy Resources, Inc.), Underwriting Agreement (Magnum Hunter Resources Corp), Underwriting Agreement (Miller Energy Resources, Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act).
Appears in 9 contracts
Samples: Placement Agency Agreement (Transatlantic Petroleum Ltd.), Placement Agency Agreement (KMG Chemicals Inc), Placement Agency Agreement (Accelerize Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2)) under the Securities Act) of with respect to the Securities and (2ii) at as of the date hereofClosing Date, the Company was not and is not an “ineligible issuer,” (as defined in Rule 405 (“Rule 405”) under the Securities Act), without taking into account any determination by the Commission pursuant to Rule 405 that it is not necessary that the Company be considered an ineligible issuer.
Appears in 7 contracts
Samples: Agency Agreement, Agency Agreement (National Rural Utilities Cooperative Finance Corp /Dc/), Agency Agreement (National Rural Utilities Cooperative Finance Corp /Dc/)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 6 contracts
Samples: Underwriting Agreement (Adcare Health Systems, Inc), Underwriting Agreement (Adcare Health Systems, Inc), Underwriting Agreement (Adcare Health Systems, Inc)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 5 contracts
Samples: Underwriting Agreement (Asterias Biotherapeutics, Inc.), Underwriting Agreement (Biotime Inc), Underwriting Agreement (GWG Holdings, Inc.)
Not an Ineligible Issuer. (1A) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of under Rule 164(h)(2) under the Securities Act) and (B) as of the Securities date of the execution and delivery of this Agreement (2) at the with such date hereofbeing used as a determination date for purposes of this clause (B)), the Company neither was not and nor is not an “ineligible issuer,” Ineligible Issuer (as defined in Rule 405 (“Rule 405”) under the Securities Act).
Appears in 5 contracts
Samples: Underwriting Agreement (United Insurance Holdings Corp.), Helix Energy Solutions Group Inc, Helix Energy Solutions Group Inc
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Placement Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 4 contracts
Samples: Asterias Biotherapeutics, Inc., Anworth Mortgage Asset Corp, Yuma Energy, Inc.
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Placement Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 4 contracts
Samples: Adcare Health Systems Inc, Adcare Health Systems, Inc, Adcare Health Systems, Inc
Not an Ineligible Issuer. (1) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Stock and (2) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 4 contracts
Samples: Underwriting Agreement (Delcath Systems Inc), Underwriting Agreement (Tranzyme Inc), Underwriting Agreement (Mela Sciences, Inc. /Ny)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 3 contracts
Samples: Placement Agency Agreement (Beijing Med Pharm Corp), Placement Agency Agreement (Axion Power International, Inc.), Subscription Agreement (Axion Power International, Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 3 contracts
Samples: Underwriting Agreement (Anworth Mortgage Asset Corp), Underwriting Agreement (Yuma Energy, Inc.), Underwriting Agreement (Peregrine Pharmaceuticals Inc)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Units and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act).
Appears in 3 contracts
Samples: Placement Agency Agreement (Far East Energy Corp), Placement Agency Agreement (American Dg Energy Inc), Placement Agency Agreement (Hudson Technologies Inc /Ny)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Units and (2ii) at the date hereof, the Company was not and is not an “"ineligible issuer,” " as defined in Rule 405 (“Rule 405”) under the Securities ActAct ("Rule 405").
Appears in 3 contracts
Samples: Placement Agency Agreement (Magnum Hunter Resources Corp), Placement Agency Agreement (Magnum Hunter Resources Corp), Placement Agency Agreement (Houston American Energy Corp)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Notes and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 2 contracts
Samples: Agency Agreement (BMP Sunstone CORP), Placement Agency Agreement (BMP Sunstone CORP)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Placement Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act).
Appears in 2 contracts
Samples: Common Stock (Miller Energy Resources, Inc.), Miller Energy Resources, Inc.
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 2 contracts
Samples: Placement Agency Agreement (BMP Sunstone CORP), BMP Sunstone CORP
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company and the Parent or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was and the Parent were not and is are not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act).
Appears in 2 contracts
Samples: Underwriting Agreement (Gastar Exploration USA, Inc.), Underwriting Agreement (Gastar Exploration USA, Inc.)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and any post-effective amendment thereto, at the earliest time after the filing of the Registration Statement thereafter that the Company or another any offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Placement Shares, and (2) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in under Rule 405 (“Rule 405”) under the Securities Act. The Company agrees to notify Cowen promptly upon the Company becoming an “ineligible issuer.”
Appears in 2 contracts
Samples: Sales Agreement (Entrada Therapeutics, Inc.), Sales Agreement (Sage Therapeutics, Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities and (2ii) at the date hereof, the Company was not and is not an “"ineligible issuer,” " as defined in Rule 405 (“Rule 405”) under the Securities ActAct ("Rule 405").
Appears in 2 contracts
Samples: Underwriting Agreement (Magnum Hunter Resources Corp), Evolution Petroleum Corp
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Units and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 1 contract
Not an Ineligible Issuer. (1) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made makes a bona fide offer (within the meaning of Rule 164(h)(2) under of the Securities Act) of the Securities Common Shares and (2ii) at as of the date hereofof this Agreement, the Company was not and or is not an “ineligible issuer,” Ineligible Issuer (as defined in Rule 405 (“Rule 405”) under of the Securities Act), without taking account of any determination by the Commission pursuant to Rule 405 of the Securities Act that it is not necessary that the Company be considered an Ineligible Issuer.
Appears in 1 contract
Samples: Sales Agency Financing Agreement (Great Plains Energy Inc)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2ii) at the date hereof, the Company was not and is not an “"ineligible issuer,” " as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 1 contract
Not an Ineligible Issuer. (1) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 1 contract
Samples: Placement Agency Agreement (Sangamo Biosciences Inc)
Not an Ineligible Issuer. (1) At the time of filing the Registration Statement and any post-effective amendment thereto, at the earliest time after the filing of the Registration Statement thereafter that the Company or another any offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Placement Shares and (2) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 1 contract
Samples: Sales Agreement (SOPHiA GENETICS SA)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities Shares and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 under the Securities Act (“Rule 405”) under the Securities Act.). 6
Appears in 1 contract
Samples: Placement Agency Agreement (Dakota Plains Holdings, Inc.)
Not an Ineligible Issuer. (1i) At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the Securities Act) of the Securities L-Bonds and (2ii) at the date hereof, the Company was not and is not an “ineligible issuer,” as defined in Rule 405 (“Rule 405”) under the Securities Act.
Appears in 1 contract
