Common use of Prior Securities Transactions Clause in Contracts

Prior Securities Transactions. Since January 23, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Akers Biosciences Inc)

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Prior Securities Transactions. Since January 23July 1, 20142020, no securities of the Company have been sold by the Company or to its knowledge by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package Time of Sale Prospectus and the ProspectusPreliminary Offering Documents.

Appears in 1 contract

Samples: Underwriting Agreement (Draganfly Inc.)

Prior Securities Transactions. Since January 231, 20142012, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Ritter Pharmaceuticals Inc)

Prior Securities Transactions. Since January 23March 1, 20142022, no securities of the Company have been sold by the Company or to its knowledge by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package Time of Sale Prospectus and the ProspectusPreliminary Offering Documents.

Appears in 1 contract

Samples: Underwriting Agreement (Draganfly Inc.)

Prior Securities Transactions. Since January 23December 31, 20142012, no securities of the Company have been sold by the Company or or, to the knowledge of the Company, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the ProspectusPreliminary Prospectus except shares of the Company's common stock or securities convertible or exercisable into shares of common stock not exceeding 5% of the Company's shares of common stock currently outstanding.

Appears in 1 contract

Samples: Underwriting Agreement (NeoStem, Inc.)

Prior Securities Transactions. Since January 23February 11, 20142011, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Kips Bay Medical, Inc.)

Prior Securities Transactions. Since January 231, 20142013, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Manhattan Bridge Capital, Inc)

Prior Securities Transactions. Since January 23December 31, 20142012, no securities of the Company have been sold by the Company or or, to the knowledge of the Company, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the ProspectusPreliminary Prospectus except shares of the Company’s common stock or securities convertible or exercisable into shares of common stock not exceeding 5% of the Company’s shares of common stock currently outstanding.

Appears in 1 contract

Samples: Underwriting Agreement (NeoStem, Inc.)

Prior Securities Transactions. Since January 23June 10, 20142019, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Warrantee Inc.)

Prior Securities Transactions. Since January 23September 30, 20142020, 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, except as disclosed in the Registration Statement, the Pricing General Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since January 23November 1, 20142012, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Advaxis, Inc.)

Prior Securities Transactions. Since January 23September 24, 20142013, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (NanoFlex Power Corp)

Prior Securities Transactions. Since January 23October 31, 20142011, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Advaxis, Inc.)

Prior Securities Transactions. Since January 23August 1, 20142020, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Cel Sci Corp)

Prior Securities Transactions. Since January 231, 20142021, 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, except as disclosed in the Registration Statement, the public filings of the Company’s affiliates (including in Section 16 and Section 13 filings), the Pricing Disclosure Package and the Prospectusany Preliminary Prospectus Supplement.

Appears in 1 contract

Samples: Underwriting Agreement (KULR Technology Group, Inc.)

Prior Securities Transactions. Since January 23September 30, 2014, no securities of the Company have been sold by the Company or or, to the knowledge of the Company, by or on behalf of, or for the benefit of, any person or persons controlling, controlled by or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the ProspectusPreliminary Prospectus except shares of the Company’s common stock or securities convertible or exercisable into shares of common stock not exceeding 5% of the Company’s shares of common stock currently outstanding.

Appears in 1 contract

Samples: Underwriting Agreement (NeoStem, Inc.)

Prior Securities Transactions. Since January 23August 1, 20142016, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Preliminary Prospectus.

Appears in 1 contract

Samples: Securities Purchase Agreement (BriaCell Therapeutics Corp.)

Prior Securities Transactions. Since January 23September 25, 20142012, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the ProspectusProspectus or except as may have been sold under the Company’s At-the-Market Issuance Sales Agreement with MLV & Co. LLC, dated December 3, 2014 (the “ATM Sales Agreement”).

Appears in 1 contract

Samples: Underwriting Agreement (CVSL Inc.)

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Prior Securities Transactions. Since January 23March 4, 20142010, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Professional Diversity Network, LLC)

Prior Securities Transactions. Since January 23July 18, 20142018, 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, except as disclosed in the Registration Statement, the Pricing General Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since January 23December 31, 2014, 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 or under common control with the Company, except pursuant to Rule 144 or as disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the ProspectusDisclosure Package.

Appears in 1 contract

Samples: Underwriting Agreement (Eltek LTD)

Prior Securities Transactions. Since January 23, 2014, no 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 CompanyCompany since January 1, 2021, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the ProspectusPreliminary Prospectus or with respect to the conversion of promissory notes previously disclosed in the Registration Statement, Disclosure Package and Preliminary Prospectus or shares issued pursuant to the Company’s equity incentive plans.

Appears in 1 contract

Samples: Underwriting Agreement (Splash Beverage Group, Inc.)

Prior Securities Transactions. Since January 231, 20142021, 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, except as disclosed in the Registration Statement, the public filings of the Company’s affiliates (including in Section 16 and Section 13 filings), the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (KULR Technology Group, Inc.)

Prior Securities Transactions. Since January 231, 20142015, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Manhattan Bridge Capital, Inc)

Prior Securities Transactions. Since January 23March 4, 20142013, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Professional Diversity Network, Inc.)

Prior Securities Transactions. Since January July 23, 20142013, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Preliminary Prospectus, or except as may have been sold under the Company’s Controlled Equity OfferingSM Sales Agreement with Cantor Xxxxxxxxxx & Co., dated October 10, 2014 (the “Sales Agreement”).

Appears in 1 contract

Samples: Underwriting Agreement (Heat Biologics, Inc.)

Prior Securities Transactions. Since January 23June 30, 20142013, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Timberline Resources Corp)

Prior Securities Transactions. Since January 23July 18, 20142018, 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, except as disclosed in the Registration Statement, the Pricing Disclosure Package Statement and the Prospectus.

Appears in 1 contract

Samples: Open Market Sale (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since January 23October 22, 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 or under common control with the Company, except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus.

Appears in 1 contract

Samples: Underwriting Agreement (Meridian Waste Solutions, Inc.)

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