Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 1754 contracts
Sources: Underwriting Agreement (AMR Resources Acquisition Corp.), Underwriting Agreement (Jones Ventures INTL Acquisition1 Corp), Underwriting Agreement (Phalanx Acquisition Corp I)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 628 contracts
Sources: Underwriting Agreement (American Battery Materials, Inc.), Underwriting Agreement (Idaho Copper Corp), Underwriting Agreement (IMC Rare Earths LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since within the three years prior to the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 184 contracts
Sources: Underwriting Agreement (JK Acquisition Corp.), Underwriting Agreement (Oakmont Acquisition Corp.), Underwriting Agreement (Argyle Security Acquisition CORP)
Prior Securities Transactions. No During the past three (3) years from the date of this Agreement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and any Preliminary Prospectus.
Appears in 144 contracts
Sources: Underwriting Agreement (Collab Z Inc.), Underwriting Agreement (Libera Gaming Operations, Inc), Underwriting Agreement (Hartford Creative Group, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 94 contracts
Sources: Underwriting Agreement (RIKU DINING GROUP LTD), Underwriting Agreement (Vittoria LTD), Underwriting Agreement (Jyong Biotech Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 91 contracts
Sources: Placement Agency Agreement (Sidus Space Inc.), Placement Agency Agreement (Sidus Space Inc.), Placement Agency Agreement (Greenland Energy Co)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s 's formation, except as disclosed in the Registration Statement.
Appears in 70 contracts
Sources: Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.), Underwriting Agreement (Restaurant Acquisition Partners, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementPricing Disclosure Package and the Preliminary Prospectus.
Appears in 61 contracts
Sources: Underwriting Agreement (MEDI Group LTD), Underwriting Agreement (MEDI Group LTD), Underwriting Agreement (MEDI Group LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formationincorporation, except as disclosed in the Registration Statement.
Appears in 57 contracts
Sources: Underwriting Agreement (Ocean Capital Acquisition Corp), Underwriting Agreement (Ocean Capital Acquisition Corp), Underwriting Agreement (Starlink AI Acquisition Corp)
Prior Securities Transactions. No Since inception, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 47 contracts
Sources: Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (BRB Foods Inc.), Underwriting Agreement (Toppoint Holdings Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 41 contracts
Sources: Placement Agent Agreement (Lixte Biotechnology Holdings, Inc.), Underwriting Agreement (OneConstruction Group LTD), Underwriting Agreement (WORK Medical Technology Group LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and the Prospectus.
Appears in 36 contracts
Sources: Underwriting Agreement (RUI Holdings Inc), Underwriting Agreement (EvoNexus Group LTD), Underwriting Agreement (TechCreate Group Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Statutory Prospectus, and the Prospectus.
Appears in 32 contracts
Sources: Underwriting Agreement (Crestone Strategic Capital Acquisition Corp), Underwriting Agreement (OceanLight Acquisition Corp), Underwriting Agreement (Futurewave Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementDisclosure Materials.
Appears in 30 contracts
Sources: Underwriting Agreement (Seahawk Recycling Holdings, Inc.), Underwriting Agreement (Starrygazey Inc.), Underwriting Agreement (BAO Holding Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 29 contracts
Sources: Underwriting Agreement (Stardust Power Inc.), Underwriting Agreement (Digital Ally, Inc.), Underwriting Agreement (Digital Ally, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Statutory Prospectus and the Prospectus.
Appears in 28 contracts
Sources: Underwriting Agreement (Oceanhawk Acquisition Corp.), Underwriting Agreement (Oceanhawk Acquisition Corp.), Underwriting Agreement (GSR v Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package, and the Prospectus.
Appears in 27 contracts
Sources: Underwriting Agreement (ARC Group Securities Acquisition I), Underwriting Agreement (ARC Group Acquisition I Corp.), Underwriting Agreement (ARC Group Acquisition I Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or or, to the Company’s knowledge, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 21 contracts
Sources: Underwriting Agreement (Uptrend Holdings LTD), Underwriting Agreement (Acco Group Holdings LTD), Underwriting Agreement (Barentsz Capital LTD)
Prior Securities Transactions. No Except as disclosed in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 18 contracts
Sources: Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (IB Acquisition Corp.), Underwriting Agreement (IB Acquisition Corp.)
Prior Securities Transactions. No Except as disclosed in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s its formation, except as disclosed in the Registration Statement.
Appears in 14 contracts
Sources: Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (Selway Capital Acquisition Corp.), Underwriting Agreement (FlatWorld Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementPricing Disclosure Package and the Prospectus.
Appears in 13 contracts
Sources: Underwriting Agreement (Solar Strategy Holdings LTD), Underwriting Agreement (Cafe Deco Group LTD), Underwriting Agreement (Solar Strategy Holdings LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or or, to the Company’s knowledge, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 13 contracts
Sources: Underwriting Agreement (iOThree LTD), Underwriting Agreement (TDE GROUP LTD), Underwriting Agreement (iOThree LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 13 contracts
Sources: Underwriting Agreement (Treehouse Partners CORP), Underwriting Agreement (Highbury Financial Inc), Underwriting Agreement (Highbury Financial Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed or incorporated by reference in the Registration Statement, the Disclosure Package, and the Preliminary Prospectus.
Appears in 12 contracts
Sources: Placement Agency Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and Prospectus.
Appears in 12 contracts
Sources: Underwriting Agreement (Pacipic Nexus IntelliTech Group), Underwriting Agreement (Cloud Data Holdings Corp), Underwriting Agreement (Duke Holding Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package, the Preliminary Prospectus or filings made by the Company with the Commission.
Appears in 12 contracts
Sources: Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.), Underwriting Agreement (Caring Brands, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled con-trolled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 12 contracts
Sources: Underwriting Agreement (Rand Acquisition Corp. II), Underwriting Agreement (Rand Acquisition Corp. II), Underwriting Agreement (China Fortune Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been offered or sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 11 contracts
Sources: Underwriting Agreement (United Refining Energy Corp), Underwriting Agreement (United Refining Energy Corp), Underwriting Agreement (United Refining Energy Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus Supplement.
Appears in 11 contracts
Sources: Underwriting Agreement (Dss, Inc.), Underwriting Agreement (Youxin Technology LTD), Underwriting Agreement (Youxin Technology LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Preliminary Prospectus, the Registration StatementStatement and the Prospectus.
Appears in 10 contracts
Sources: Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Shermen WSC Acquisition Corp), Underwriting Agreement (Oracle Healthcare Acquisition Corp.)
Prior Securities Transactions. No Since the beginning of the period covered by the financial statement included in the Registration Statement, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 8 contracts
Sources: Placement Agency Agreement (Addentax Group Corp.), Placement Agency Agreement (Greenpro Capital Corp.), Placement Agency Agreement (Greenpro Capital Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Preliminary Prospectus and the Prospectus.
Appears in 8 contracts
Sources: Underwriting Agreement (New Asia Partners China I Corp), Underwriting Agreement (New Asia Partners China CORP), Underwriting Agreement (New Asia Partners China CORP)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 8 contracts
Sources: Underwriting Agreement (Material Resource Acquisition Corp.), Underwriting Agreement (Tribeca Strategic Acquisition Corp.), Underwriting Agreement (Tribeca Strategic Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s 's formation, except as disclosed in the Registration Statement.
Appears in 8 contracts
Sources: Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Arbor Rapha Capital Bioholdings Corp. I), Underwriting Agreement (Allegro Merger Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Prospectus and the Prospectus.
Appears in 7 contracts
Sources: Underwriter Agreement (Dogness (International) Corp), Underwriting Agreement (Baikang Biological Group Holdings LTD), Placement Agent Agreement (Endurance Exploration Group, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since within the three (3) years prior to the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 7 contracts
Sources: Underwriting Agreement (Echo Healthcare Acquisition Corp.), Underwriting Agreement (Key Hospitality Acquisition CORP), Underwriting Agreement (Echo Healthcare Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formationApril 1, 2013, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 7 contracts
Sources: Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.), Underwriting Agreement (Rennova Health, Inc.)
Prior Securities Transactions. No Since January 1, 2020, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 7 contracts
Sources: Underwriting Agreement (ENDRA Life Sciences Inc.), Underwriting Agreement (Movano Inc.), Underwriting Agreement (Biostage, Inc.)
Prior Securities Transactions. No Since January 1, 2016, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Prospectus and the Preliminary Prospectus.
Appears in 7 contracts
Sources: Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.), Underwriting Agreement (Guardion Health Sciences, Inc.)
Prior Securities Transactions. No Since September 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 6 contracts
Sources: Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, and the Prospectus.
Appears in 6 contracts
Sources: Underwriting Agreement (FG Holdings LTD), Underwriting Agreement (FG Holdings LTD), Underwriting Agreement (FG Holdings LTD)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s its formation, except as disclosed in the Registration Statement.
Appears in 6 contracts
Sources: Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.), Underwriting Agreement (China Shandong Industries, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus or as not required to be disclosed pursuant to the Securities Act and the Securities Act Regulations.
Appears in 6 contracts
Sources: Underwriting Agreement (Clip Interactive, LLC), Underwriting Agreement (Clip Interactive, LLC), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package, and the Preliminary Prospectus.
Appears in 6 contracts
Sources: Placement Agency Agreement (Twin Vee PowerCats, Co.), Placement Agency Agreement (Twin Vee PowerCats, Co.), Placement Agency Agreement (Twin Vee PowerCats, Co.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration StatementStatutory Prospectus and the Prospectus.
Appears in 6 contracts
Sources: Underwriting Agreement (Apex Bioventures Acquisition Corp), Underwriting Agreement (Advanced Technology Acquisition Corp.), Underwriting Agreement (Advanced Technology Acquisition Corp.)
Prior Securities Transactions. No Since August 1, 2016, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 6 contracts
Sources: Underwriting Agreement (BriaCell Therapeutics Corp.), Underwriting Agreement (BriaCell Therapeutics Corp.), Placement Agency Agreement (BriaCell Therapeutics Corp.)
Prior Securities Transactions. No unregistered securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date Company, and no securities of the Company’s formationCompany have been sold by the Company during the six-month period preceding the Closing Date, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 6 contracts
Sources: Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc), Underwriting Agreement (Stemline Therapeutics Inc)
Prior Securities Transactions. No Since January 1, 2011, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Top Ships Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Prior Securities Transactions. No During the prior twelve months, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.), Underwriting Agreement (FG Financial Group, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, of any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (Cocrystal Pharma, Inc.), Underwriting Agreement (Opgen Inc), Underwriting Agreement (Creative Realities, Inc.)
Prior Securities Transactions. No Since July 23, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or or, to the Company’s knowledge, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the preliminary prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (Ambitions Enterprise Management Co. L.L.C), Underwriting Agreement (Ambitions Enterprise Management Co. L.L.C), Underwriting Agreement (Hong Kong Pharma Digital Technology Holdings LTD)
Prior Securities Transactions. No Since January 1, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (Skyline Medical Inc.), Underwriting Agreement (Skyline Medical Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and any Preliminary Prospectus.
Appears in 5 contracts
Sources: Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.), Underwriting Agreement (LMP Automotive Holdings, Inc.)
Prior Securities Transactions. No Since January 1, 2021, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (Gain Therapeutics, Inc.), Underwriting Agreement (Modular Medical, Inc.), Underwriting Agreement (Modular Medical, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package, and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Treasure Global Inc), Underwriting Agreement (Verb Technology Company, Inc.)
Prior Securities Transactions. No Since December 31, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc), Underwriting Agreement (China Commercial Credit Inc)
Prior Securities Transactions. No Since August 6, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (American CareSource Holdings, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Time of Sale Information and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (BitNile Holdings, Inc.), Underwriting Agreement (Ammo, Inc.)
Prior Securities Transactions. No Since January 1, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (Rit Technologies LTD), Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)
Prior Securities Transactions. No Since January 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 4 contracts
Sources: Placement Agency Agreement (InspireMD, Inc.), Placement Agency Agreement (InspireMD, Inc.), Placement Agency Agreement (Uranium Resources Inc /De/)
Prior Securities Transactions. No Since May 13, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 4 contracts
Sources: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus or in reports filed under Section 16 of the Exchange Act.
Appears in 4 contracts
Sources: Underwriting Agreement (Transcode Therapeutics, Inc.), Underwriting Agreement (Transcode Therapeutics, Inc.), Underwriting Agreement (Transcode Therapeutics, Inc.)
Prior Securities Transactions. No securities of the Company have been offered or sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Sale Preliminary Prospectus and the Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.), Underwriting Agreement (Redstar Partners, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or to the knowledge of the Company by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG), Underwriting Agreement (Biofrontera AG)
Prior Securities Transactions. No Since inception, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementOffering Statement (including Part I thereof), the Pricing Disclosure Package and the Final Offering Circular.
Appears in 3 contracts
Sources: Underwriting Agreement (AeroClean Technologies, LLC), Underwriting Agreement (Scopus BioPharma Inc.), Underwriting Agreement (Scopus BioPharma Inc.)
Prior Securities Transactions. No Since May 1, 2014, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.), Underwriting Agreement (Aldeyra Therapeutics, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 3 contracts
Sources: Underwriting Agreement (TrovaGene Inc.), Underwriting Agreement (TrovaGene Inc.), Underwriting Agreement (Xplore Technologies Corp)
Prior Securities Transactions. No Since February 1, 2010, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Intercloud Systems, Inc.), Underwriting Agreement (Intercloud Systems, Inc.), Underwriting Agreement (Intercloud Systems, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement and the Pricing Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Viragen Inc), Underwriting Agreement (Viragen Inc), Underwriting Agreement (Viragen Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except (i) as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus and (ii) pursuant to the Company’s Employee Share Option Plan.
Appears in 3 contracts
Sources: Underwriting Agreement (Palatin Technologies Inc), Underwriting Agreement (Palatin Technologies Inc), Underwriting Agreement (IceCure Medical Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date formation of the Company’s formation, except as disclosed in the Registration StatementProspectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Global Logistics Acquisition CORP), Underwriting Agreement (TAC Acquisition Corp.), Underwriting Agreement (TAC Acquisition Corp.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementSchedule 2.4.3.
Appears in 3 contracts
Sources: Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.), Underwriting Agreement (Blink Charging Co.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as that are required to be disclosed in the Registration StatementStatement except as disclosed therein.
Appears in 3 contracts
Sources: Underwriting Agreement (On Track Innovations LTD), Underwriting Agreement (Novelos Therapeutics, Inc.), Underwriting Agreement (Novelos Therapeutics, Inc.)
Prior Securities Transactions. No Since July 23, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (Heat Biologics, Inc.)
Prior Securities Transactions. No Sine January 1, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.
Appears in 3 contracts
Sources: Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.), Underwriting Agreement (AspenBio Pharma, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 3 contracts
Sources: Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.), Underwriting Agreement (GigCapital5, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Offering Statement, the Pricing Disclosure Materials and the Final Offering Circular.
Appears in 3 contracts
Sources: Placement Agency Agreement (Campagna Motors USA Inc.), Selling Agency Agreement (Level Brands, Inc.), Selling Agency Agreement (Level Brands, Inc.)
Prior Securities Transactions. No Since January 1, 2018, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Staffing 360 Solutions, Inc.), Underwriting Agreement (Sigma Labs, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed or incorporated by reference in the Registration Statement, the Disclosure Package, and the Prospectus.
Appears in 2 contracts
Sources: Placement Agency Agreement (Vivani Medical, Inc.), Placement Agency Agreement (Vivani Medical, Inc.)
Prior Securities Transactions. No Since January 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package, the Preliminary Prospectus or the Company’s filings with the Commission under the Exchange Act.
Appears in 2 contracts
Sources: Underwriting Agreement (PeerStream, Inc.), Underwriting Agreement (PeerStream, Inc.)
Prior Securities Transactions. No Since January 1, 2012, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Manhattan Bridge Capital, Inc), Underwriting Agreement (American Dg Energy Inc)
Prior Securities Transactions. No Since May 13, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package, the Preliminary Prospectus of filings made by the Company with the Commission.
Appears in 2 contracts
Sources: Underwriting Agreement (Nature's Miracle Holding Inc.), Underwriting Agreement (Nature's Miracle Holding Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement.. EarlyBirdCapital, Inc.[l], 2017Page 8 of 41
Appears in 2 contracts
Sources: Underwriting Agreement (CM Seven Star Acquisition Corp), Underwriting Agreement (CM Seven Star Acquisition Corp)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, of any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Prospectus and the General Disclosure Package.
Appears in 2 contracts
Sources: Underwriting Agreement (New America Acquisition I Corp.), Underwriting Agreement (New America Acquisition I Corp.)
Prior Securities Transactions. No Since January 1, 2019, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Disclosure Package and the Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Manhattan Bridge Capital, Inc), Underwriting Agreement (Document Security Systems Inc)
Prior Securities Transactions. No Since January 1, 2017, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus or the Company’s filings with the Commission under the Exchange Act.
Appears in 2 contracts
Sources: Underwriting Agreement (Staffing 360 Solutions, Inc.), Underwriting Agreement (Staffing 360 Solutions, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since (or any predecessor), within three years prior to the date of the Company’s formationhereof, except as disclosed in the Registration Statement.
Appears in 2 contracts
Sources: Underwriting Agreement (Niche Pharmaceuticals Inc), Underwriting Agreement (Niche Pharmaceuticals Inc)
Prior Securities Transactions. No Since January 1, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the SEC Reports or the Registration Statement, the Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Placement Agency Agreement (InspireMD, Inc.), Placement Agency Agreement (InspireMD, Inc.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the General Disclosure Package and the Prospectus.
Appears in 2 contracts
Sources: Equity Distribution Agreement (Ion Geophysical Corp), Equity Distribution Agreement (xG TECHNOLOGY, INC.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration StatementStatement or the Disclosure Materials.
Appears in 2 contracts
Sources: Underwriting Agreement (Hang Feng Technology Innovation Co., Ltd.), Underwriting Agreement (Hang Feng Technology Innovation Co., Ltd.)
Prior Securities Transactions. No securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, or under common control with the Company since the date of from the Company’s formationformation until the date hereof, except as disclosed in the Registration Statement.
Appears in 2 contracts
Sources: Underwriting Agreement (Good Harbor Partners Acquisition Corp), Underwriting Agreement (Good Harbor Partners Acquisition Corp)
Prior Securities Transactions. No Since June 24, 2015, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Ritter Pharmaceuticals Inc), Underwriting Agreement (Ritter Pharmaceuticals Inc)
Prior Securities Transactions. No To the extent material or otherwise required to be disclosed therein, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (BranchOut Food Inc.), Underwriting Agreement (BranchOut Food Inc.)
Prior Securities Transactions. No Since January 1, 2013, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (iSign Solutions Inc.), Underwriting Agreement (iSign Solutions Inc.)
Prior Securities Transactions. No Since September 21, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Sorrento Therapeutics, Inc.), Underwriting Agreement (Sorrento Therapeutics, Inc.)
Prior Securities Transactions. No Since January 1, 2016, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Tapinator, Inc.), Underwriting Agreement (Tapinator, Inc.)
Prior Securities Transactions. No Since January 1, 2009, no securities of the Company have been sold by the Company or by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Cancer Genetics, Inc), Underwriting Agreement (Cancer Genetics, Inc)
Prior Securities Transactions. No securities of the Company have been sold by the Company or to the knowledge of the Company by or on behalf of, or for the benefit of, any person or persons controlling, controlled by, by or under common control with the Company since the date of the Company’s formation, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus, other than Ordinary Shares issued in satisfaction of interest payable on the Company’s outstanding unsecured convertible debentures.
Appears in 2 contracts
Sources: Underwriting Agreement (Ambow Education Holding Ltd.), Underwriting Agreement (Ambow Education Holding Ltd.)