Common use of Prior Sales of Securities Clause in Contracts

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 85 contracts

Samples: Underwriting Agreement (Nocera, Inc.), Underwriting Agreement (Eastside Distilling, Inc.), Underwriting Agreement (Fathom Holdings Inc.)

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Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 7 contracts

Samples: Underwriting Agreement (Cariloha, Inc.), Underwriting Agreement (Lovesac Co), Underwriting Agreement (Lovesac Co)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock Shares during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock share option plans or other employee compensation plans or pursuant to outstanding preferred stockshares, options, rights or warrants or other outstanding convertible securities.

Appears in 5 contracts

Samples: Underwriting Agreement (Frankly Inc), Underwriting Agreement (Frankly Inc), Underwriting Agreement (Frankly Inc)

Prior Sales of Securities. Except as set forth disclosed in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 5 contracts

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

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month six (6)-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 4 contracts

Samples: Underwriting Agreement (Inuvo, Inc.), Underwriting Agreement (Inuvo, Inc.), Underwriting Agreement (Hoth Therapeutics, Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 3 contracts

Samples: Underwriting Agreement (Mobiquity Technologies, Inc.), Underwriting Agreement (Mobiquity Technologies, Inc.), Underwriting Agreement (Mobiquity Technologies, Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 3 contracts

Samples: Underwriting Agreement (Amesite Operating Co), Underwriting Agreement (Delcath Systems, Inc.), Underwriting Agreement (Delcath Systems, Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock Shares during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, of the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 3 contracts

Samples: Underwriting Agreement (Austin Gold Corp.), Underwriting Agreement (Austin Gold Corp.), Underwriting Agreement (Austin Gold Corp.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, of the Securities Act, other than shares of Common Stock issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 2 contracts

Samples: Underwriting Agreement (Med-X, Inc.), Underwriting Agreement (Troika Media Group, Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and or the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 2 contracts

Samples: Underwriting Agreement (ASP Isotopes Inc.), Underwriting Agreement (ASP Isotopes Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, or as disclosed to the Underwriter in writing, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 2 contracts

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

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale General Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, of the Securities Act, other than shares of Common Stock issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 2 contracts

Samples: Underwriting Agreement (Flewber Global Inc.), Underwriting Agreement (Med-X, Inc.)

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Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock Ordinary Shares during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under144A, or Regulations Regulation D or Regulation S of, under the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 2 contracts

Samples: Underwriting Agreement (Incannex Healthcare LTD), Underwriting Agreement (Incannex Healthcare LTD)

Prior Sales of Securities. Except as set forth in the Registration Statement, Company’s filings with the Time of Sale Disclosure Package Securities and the Final ProspectusExchange Commission, the Company has not sold or issued any shares of Common Stock during the six-month six (6)-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 1 contract

Samples: Underwriting Agreement (Hoth Therapeutics, Inc.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.. 10 The Lovesac Company 2019 Offering Underwriting Agreement

Appears in 1 contract

Samples: Underwriting Agreement (Lovesac Co)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, restricted stock units, rights or warrants or other outstanding convertible securities.

Appears in 1 contract

Samples: Underwriting Agreement (Iridex Corp)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations Regulation D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 1 contract

Samples: Underwriting Agreement (A-Mark Precious Metals, Inc.)

Prior Sales of Securities. Except as set forth or incorporated by reference in the Registration Statement, the Time of Sale Disclosure Package and the Final Prospectus, the Company has not sold or issued any shares of Common Stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 1 contract

Samples: Underwriting Agreement (Pershing Gold Corp.)

Prior Sales of Securities. Except as set forth in the Registration Statement, the Time of Sale Disclosure Package Prospectus and the Final Prospectus, the Company has not sold or issued any shares of Common Stock common stock during the six-month period preceding the date hereof, including any sales pursuant to Rule 144A under, or Regulations D or S of, the Securities Act, other than shares issued pursuant to employee benefit plans, stock option plans or other employee compensation plans or pursuant to outstanding preferred stock, options, rights or warrants or other outstanding convertible securities.

Appears in 1 contract

Samples: Underwriting Agreement (ACM Research, Inc.)

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