Common use of Prior Securities Transactions Clause in Contracts

Prior Securities Transactions. Since October 31, 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 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

Sources: Underwriting Agreement (Advaxis, Inc.)

Prior Securities Transactions. Since October 31June 24, 20112015, 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

Sources: Underwriting Agreement (Ritter Pharmaceuticals Inc)

Prior Securities Transactions. Since October December 31, 20112012, 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 Preliminary ProspectusProspectus 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

Sources: Underwriting Agreement (NeoStem, Inc.)

Prior Securities Transactions. Since October 31the incorporation of the Company on June 4, 20112025, 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

Sources: Underwriting Agreement (Student Living EduVation (Holdings) Corp)

Prior Securities Transactions. Since October 31January 1, 20112015, 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 Prospectus and the Preliminary Prospectus.

Appears in 1 contract

Sources: Underwriting Agreement (YayYo, Inc.)

Prior Securities Transactions. Since October 31September 25, 20112012, 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 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

Sources: Underwriting Agreement (CVSL Inc.)

Prior Securities Transactions. Since October 31January 1, 20112021, 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 any Preliminary ProspectusProspectus Supplement.

Appears in 1 contract

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

Prior Securities Transactions. Since October 3122, 20112014, 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

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

Prior Securities Transactions. Since October 31November 16, 20112016, 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 Prospectus and the Preliminary Prospectus.

Appears in 1 contract

Sources: Underwriting Agreement (YayYo, Inc.)

Prior Securities Transactions. Since October 31August 1, 20112020, 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

Sources: Underwriting Agreement (Cel Sci Corp)

Prior Securities Transactions. Since October 31August ♦, 20112021, 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

Sources: Underwriting Agreement (Aduro Clean Technologies Inc.)

Prior Securities Transactions. Since October 31January 1, 20112021, 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

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

Prior Securities Transactions. Since October 31June 30, 20112013, 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

Sources: Underwriting Agreement (Timberline Resources Corp)

Prior Securities Transactions. Since October 31September 30, 20112020, 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

Sources: Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since October 31February 14, 20112017, 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

Sources: Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since October 31July 18, 20112018, 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

Sources: Underwriting Agreement (Aldeyra Therapeutics, Inc.)

Prior Securities Transactions. Since October 31February 11, 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 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

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

Prior Securities Transactions. Since October 31January 1, 20112013, 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

Sources: Underwriting Agreement (Manhattan Bridge Capital, Inc)

Prior Securities Transactions. Since October 31March 4, 20112013, 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

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

Prior Securities Transactions. Since October 31January 1, 20112024, 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

Sources: Underwriting Agreement (ClearSign Technologies Corp)

Prior Securities Transactions. Since October 31July 23, 20112013, 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 ▇▇▇▇▇▇▇▇▇▇ & Co., dated October 10, 2014 (the “Sales Agreement”).

Appears in 1 contract

Sources: Underwriting Agreement (Heat Biologics, Inc.)

Prior Securities Transactions. Since October 31January 1, 20112012, 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

Sources: Underwriting Agreement (Ritter Pharmaceuticals Inc)

Prior Securities Transactions. Since October 31July 1, 20112020, 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 Preliminary ProspectusOffering Documents.

Appears in 1 contract

Sources: Underwriting Agreement (Draganfly Inc.)

Prior Securities Transactions. Since October 31March 4, 20112010, 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

Sources: Underwriting Agreement (Professional Diversity Network, LLC)