Common use of Recent Securities Transactions, etc Clause in Contracts

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 10 contracts

Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (iBio, Inc.), Underwriting Agreement (Titan Pharmaceuticals Inc)

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Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, securities or incurred any liability or obligation, direct or contingent, for borrowed moneymoney other than under its existing loan agreements or in the ordinary course of business; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 7 contracts

Samples: Underwriting Agreement (Heat Biologics, Inc.), Underwriting Agreement (PDS Biotechnology Corp), Underwriting Agreement (Heat Biologics, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, any Preliminary Prospectus, the Pricing Disclosure Package Statutory Prospectus and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectustherein, the Company has not: (i) issued any securities, securities (other than shares of Common Stock issuable that may be issued upon the exercise or conversion of then the Company’s outstanding options, warrants and/or convertible securities, indebtedness) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 7 contracts

Samples: Underwriting Agreement (Resonant Inc), Underwriting Agreement (Second Sight Medical Products Inc), Underwriting Agreement (Cue Biopharma, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or and convertible securities, or ; (ii) incurred any liability or obligation, direct or contingent, for borrowed money; or (iiiii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 6 contracts

Samples: Underwriting Agreement (Signal Genetics LLC), Underwriting Agreement (American CareSource Holdings, Inc.), Underwriting Agreement (Signal Genetics, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, securities or incurred any liability or obligation, direct or contingent, for borrowed money, except liabilities or obligations incurred in the ordinary course; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 6 contracts

Samples: Underwriting Agreement (Hancock Jaffe Laboratories, Inc.), Underwriting Agreement (Hancock Jaffe Laboratories, Inc.), Underwriting Agreement (Clip Interactive, LLC)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding optionssecurities described in the Registration Statement, warrants and/or convertible securitiesthe Pricing Disclosure Package and the Prospectus, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 6 contracts

Samples: Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.), Underwriting Agreement (Nano Dimension Ltd.), Underwriting Agreement (Tonix Pharmaceuticals Holding Corp.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, securities or incurred any liability or obligation, direct or contingent, for borrowed moneymoney (other than the issuance of shares of Common Stock upon the exercise of stock options and warrants described as outstanding in the Registration Statement); or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 5 contracts

Samples: Underwriting Agreement (Great Basin Scientific, Inc.), Underwriting Agreement (Great Basin Scientific, Inc.), Underwriting Agreement (Vapor Corp.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, securities other than shares of Common Stock securities issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 4 contracts

Samples: Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.), Underwriting Agreement (Synthetic Biologics, Inc.)

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Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, any Preliminary Prospectus, the Pricing Disclosure Package Statutory Prospectus and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectustherein, the Company has not: (i) with the exception of ___________________________, issued any securities, securities (other than shares of Common Stock issuable that may be issued upon the exercise or conversion of then the Company’s outstanding options, warrants and/or convertible securities, indebtedness) or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 3 contracts

Samples: Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.), Underwriting Agreement (Ideal Power Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or and convertible securities, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 2 contracts

Samples: Underwriting Agreement (Advaxis, Inc.), Underwriting Agreement (Semler Scientific, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or convertible securities, securities or incurred any material liability or obligation, direct or contingent, for borrowed money, except for any preferred stock dividends issuable on the Company’s outstanding preferred stock; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: Underwriting Agreement (Staffing 360 Solutions, Inc.)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or and convertible securities, or incurred any liability or obligation, direct or contingent, for borrowed money; or (ii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: Underwriting Agreement (Ritter Pharmaceuticals Inc)

Recent Securities Transactions, etc. Subsequent to the respective dates as of which information is given in the Registration Statement, the Pricing Disclosure Package and the Prospectus, and except as may otherwise be indicated or contemplated herein or disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company has not: (i) issued any securities, other than shares of Common Stock issuable upon the exercise or conversion of then outstanding options, warrants and/or warrants, preferred stock and convertible securities, or (ii) incurred any liability or obligation, direct or contingent, for borrowed money; or (iiiii) declared or paid any dividend or made any other distribution on or in respect to its capital stock.

Appears in 1 contract

Samples: Underwriting Agreement (Skyline Medical Inc.)

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