Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.
Appears in 16 contracts
Sources: Pricing Agreement (America Movil Sab De Cv/), Pricing Agreement (America Movil Sab De Cv/), Pricing Agreement (America Movil Sab De Cv/)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not no earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.
Appears in 12 contracts
Sources: Pricing Agreement (America Movil Sab De Cv/), Pricing Agreement (America Movil Sab De Cv/), Pricing Agreement (America Movil Sab De Cv/)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior Statement, and any amendment thereto, including any information deemed to be included therein pursuant to the date rules and regulations of the Pricing Agreement; no notice of objection of United States Securities and Exchange Commission (the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2“SEC”) promulgated under the Securities Act has been received by of 1933, as amended (the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the “Securities Act against the Company or related to the offering of the Securities has been initiated or is pending Act”), complied (or, to in the knowledge case of amendments filed after the Companydate of this Agreement, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply) as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of amendments filed after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAs of the date it is declared effective by the SEC, the Registration Statement, as of its date so amended, and as any related registration statements, will comply in all material respects with the requirements of the Closing DateSecurities Act and the rules and regulations of the SEC promulgated thereunder, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding Any preliminary prospectus included in the foregoingRegistration Statement or any amendment thereto, any free writing prospectus related to the Company does Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make any representation or warranty with respect to Underwriter Informationthe statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 11 contracts
Sources: Share Purchase Agreement (SB Energy, Inc.), Share Purchase Agreement (GLOBALFOUNDRIES Inc.), Common Stock Purchase Agreement (Medallia, Inc.)
Registration Statement. The To the extent the Company decides to proceed with the Placement, the Company will, as soon as practicable, prepare and file with the Securities and Exchange Commission (the “Commission”) a Registration Statement is an on Form S-3 (the “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2Statement”) under the Securities Act has been received of 1933, as amended (the “Securities Act”) and a prospectus and prospectus supplement included therein (together, the “Prospectus”) covering the Securities to be offered and sold in the Placement. The Registration Statement (including the Prospectus therein), and all amendments and supplements thereto, will be in form reasonably satisfactory to Aegis and counsel to Aegis. Other than any information provided by the Company; and no order suspending the effectiveness of Aegis in writing specifically for inclusion in the Registration Statement or the Prospectus, the Company will be solely responsible for the contents of its Registration Statement and Prospectus and any part thereof has been issued and all other written or oral communications provided by the SEC and no proceeding for that purpose or pursuant to Section 8A on behalf of the Securities Act against Company to any actual or prospective investor of the Securities, and the Company or related to the offering represents and warrants that such materials and such other communications will not, as of the Securities has been initiated or is pending or, to the knowledge date of the Company, is contemplated offer or threatened by the SEC, and any request on the part sale of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateSecurities, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as If at any time prior to the completion of the Closing Date, did not offer and will not include any sale of the Securities an event occurs that would cause the Registration Statement or Prospectus (as supplemented or amended) to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation will notify Aegis immediately of such event and Aegis will suspend solicitations of the prospective purchasers of the Securities until such time as the Company shall prepare a supplement or warranty with respect amendment to Underwriter Informationthe Registration Statement or Prospectus that corrects such statement or omission.
Appears in 8 contracts
Sources: Placement Agent Agreement (Cyngn Inc.), Placement Agent Agreement (Inno Holdings Inc.), Placement Agent Agreement (BTC Digital Ltd.)
Registration Statement. The To the extent the Company decides to proceed with the Placement, the Company will, as soon as practicable, prepare and file with the Securities and Exchange Commission (the “Commission”) a Registration Statement is an on Form S-1 (the “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2Statement”) under the Securities Act has been received of 1933, as amended (the “Securities Act”) and a prospectus included therein (the “Prospectus”) covering the Securities to be offered and sold in the Placement. The Registration Statement (including the Prospectus therein), and all amendments and supplements thereto, will be in form reasonably satisfactory to Aegis and counsel to Aegis. Other than any information provided by the Company; and no order suspending the effectiveness of Aegis in writing specifically for inclusion in the Registration Statement or the Prospectus, the Company will be solely responsible for the contents of its Registration Statement and Prospectus and any part thereof has been issued and all other written or oral communications provided by the SEC and no proceeding for that purpose or pursuant to Section 8A on behalf of the Securities Act against Company to any actual or prospective investor of the Securities, and the Company or related to the offering represents and warrants that such materials and such other communications will not, as of the Securities has been initiated or is pending or, to the knowledge date of the Company, is contemplated offer or threatened by the SEC, and any request on the part sale of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateSecurities, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as If at any time prior to the completion of the Closing Date, did not offer and will not include any sale of the Securities an event occurs that would cause the Registration Statement or Prospectus (as supplemented or amended) to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation will notify Aegis immediately of such event and Aegis will suspend solicitations of the prospective purchasers of the Securities until such time as the Company shall prepare a supplement or warranty with respect amendment to Underwriter Informationthe Registration Statement or Prospectus that corrects such statement or omission.
Appears in 8 contracts
Sources: Placement Agent Agreement (Sunshine Biopharma Inc.), Placement Agent Agreement (Sunshine Biopharma Inc.), Placement Agent Agreement (Sunshine Biopharma Inc.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior Statement, and any amendment thereto, including any information deemed to be included therein pursuant to the date rules and regulations of the Pricing Agreement; no notice of objection of United States Securities and Exchange Commission (the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2“SEC”) promulgated under the Securities Act has been received by of 1933, as amended (the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the “Securities Act against the Company or related to the offering of the Securities has been initiated or is pending Act”), complied (or, to in the knowledge case of amendments filed after the Companydate of this Agreement, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply) as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of amendments filed after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading. At As of the Applicable Timedate it is declared effective by the SEC, the Registration Statement Statement, as so amended, and the Pricing Prospectus conformed any related registration statements, will comply in all material respects to with the requirements of the Securities Act, Act and the Trust Indenture Actrules and regulations of the SEC promulgated thereunder, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included will not contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading. Any preliminary prospectus included in the Registration Statement or any amendment thereto, any free writing prospectus related to the Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.
Appears in 7 contracts
Sources: Common Stock Purchase Agreement (Cannae Holdings, Inc.), Common Stock Purchase Agreement (Black Knight, Inc.), Common Stock Purchase Agreement (Dun & Bradstreet Holdings, Inc.)
Registration Statement. The AIP and RELP shall cooperate and promptly prepare and AIP shall file with the SEC as soon as practicable a Registration Statement is an “automatic shelf registration statement” on Form S-4 (as defined under Rule 405 the "Form S-4") under the Securities Act) that has been filed , with respect to the AIP Common Shares issuable in the Merger, a portion of which Registration Statement shall also serve as the joint proxy statement with respect to the meetings of the shareholders and partners, respectively, of AIP and RELP in connection with the SEC not earlier than three years prior Merger (the "Proxy Statement/Prospectus"). The respective parties will cause the Proxy Statement/Prospectus and the Form S-4 to the date of the Pricing Agreement; no notice of objection of the SEC comply as to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed form in all material respects to with the requirements applicable provisions of the Securities Act, the Exchange Act and the Trust Indenture Act rules and did regulations promulgated thereunder. AIP shall use all reasonable efforts, and RELP will cooperate with AIP to have the Form S-4 declared effective by the SEC as promptly as practicable. AIP shall use its best efforts to obtain, prior to the effective date of the Form S-4, all necessary state securities law or "Blue Sky" permits or approvals required to carry out the transactions contemplated by this Agreement and will pay all expenses incident thereto. AIP agrees that the Proxy Statement/Prospectus and each amendment or supplement thereto, at the time of mailing thereof and at the time of the respective meetings of shareholders and partners, respectively, of AIP and RELP, or, in the case of the Form S-4 and each amendment or supplement thereto, at the time it is filed or becomes effective, will not include any an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein therein, in light of the circumstances under which they were made, not misleading. At ; provided, however, that the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects foregoing shall not apply to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included extent that any such untrue statement of a material fact or omitted omission to state a 24 material fact was made by AIP in reliance upon and in conformity with written information concerning RELP furnished to AIP by RELP specifically for use in the Proxy Statement/Prospectus. RELP agrees that the written information provided by it specifically for inclusion in the Proxy Statement/Prospectus and each amendment or supplement thereto, at the time of mailing thereof and at the time of the respective meetings of shareholders and partners, respectively, of AIP and RELP, or, in the case of written information provided by RELP specifically for inclusion in the Form S-4 or any amendments or supplement thereto, at the time it is filed or becomes effective, will not include an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAIP will advise RELP, as of its date and as promptly after it receives notice thereof, of the Closing Datetime when the Form S-4 has become effective or any supplement or amendment has been filed, did not and will not include the issuance of any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make stop order, the statements therein, in light suspension of the circumstances under which they were madequalification of the AIP Common Shares issuable in connection with the Merger for offering or sale in any jurisdiction, not misleading. Notwithstanding or any request by the foregoing, SEC for amendment of the Company does not make any representation Proxy Statement/Prospectus or warranty with respect to Underwriter Informationthe Form S-4 or comments thereon and responses thereto or requests by the SEC for additional information.
Appears in 7 contracts
Sources: Merger Agreement (American Industrial Properties Reit Inc), Merger Agreement (Usaa Income Properties Iii LTD Partnership), Merger Agreement (Usaa Real Estate Income Investments Ii Limited Partnership)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed In connection with the SEC not earlier than three years prior preparation of the Registration Statement, JHT on behalf of the Acquired Fund will furnish the information relating to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under Acquired Fund required by the Securities Act has been received by and the Company; and no order suspending the effectiveness of Regulations to be set forth in the Registration Statement or any part thereof has been issued by (including the SEC Prospectus and no proceeding for that purpose or pursuant to Section 8A Statement of Additional Information). At the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to time the Registration Statement has been complied with. As of its applicable effective datebecomes effective, the Registration Statement conformed Statement, insofar as it relates to the Acquired Fund, (i) will comply in all material respects to with the requirements provisions of the Securities Act and the Trust Indenture Act Regulations and did (ii) will not include any contain an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At ; and at the Applicable Time, time the Registration Statement and becomes effective, at the Pricing Prospectus conformed in all material respects to the requirements time of the Securities ActAcquired Fund’s shareholders meeting referred to in Section 5(a) and at the Effective Time of the Reorganization, the Trust Indenture ActProspectus and Statement of Additional Information, and neither the Registration Statement (as amended or supplemented by any amendments or supplements filed by JHT, insofar as they relate to the Pricing Prospectus) nor the Time of Sale Disclosure Package included any Acquired Fund, will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectus; provided, as however, that the representations and warranties in this subsection shall apply only to statements in or omissions from the Registration Statement, Prospectus or Statement of its date Additional Information made in reliance upon and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty conformity with information furnished by JHT with respect to Underwriter Informationthe Acquired Fund for use in the Registration Statement, Prospectus or Statement of Additional Information as provided in this Section 5(c).
Appears in 7 contracts
Sources: Agreement and Plan of Reorganization (John Hancock Variable Insurance Trust), Agreement and Plan of Reorganization (John Hancock Trust), Agreement and Plan of Reorganization (John Hancock Trust)
Registration Statement. The To the Company’s knowledge, the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been presently filed with United States Securities and Exchange Commission (the SEC not earlier than three years prior “SEC”), and any amendment thereto, including any information deemed to be included therein pursuant to the date of the Pricing Agreement; no notice of objection rules and regulations of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) promulgated under the Securities Act has been received by of 1933, as amended (the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the “Securities Act against the Company or related to the offering of the Securities has been initiated or is pending Act”), complied (or, to in the knowledge case of amendments filed after the Companydate of this Agreement, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply) as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of amendments filed after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAs of the date it is declared effective by the SEC, the Registration Statement, as of its date so amended, and as any related registration statements, will comply in all material respects with the requirements of the Closing DateSecurities Act and the rules and regulations of the SEC promulgated thereunder, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding Any preliminary prospectus included in the foregoingRegistration Statement or any amendment thereto, any free writing prospectus related to the Company does Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make any representation or warranty with respect to Underwriter Informationthe statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 6 contracts
Sources: Ordinary Shares Purchase Agreement (monday.com Ltd.), Ordinary Shares Purchase Agreement (monday.com Ltd.), Common Stock Purchase Agreement (Snowflake Inc.)
Registration Statement. The Registration Statement is Company meets the requirements for use of Form S-3 under the Securities Act and has prepared and filed with the Commission an “automatic shelf registration statement” (, as defined under in Rule 405 (File Number 333-158958), on Form S-3, including a related base prospectus, for registration under the Securities Act of the offering and sale of certain securities. Such registration statement, including the exhibits thereto and the documents, if any, incorporated by reference therein, as amended (or deemed to have been amended pursuant to Rules 430A, 430B or 430C under the Securities Act) that has been from time to time, is hereinafter referred to as the “Shelf Registration Statement.” Such Shelf Registration Statement, including any amendments thereto filed with the SEC not earlier than three years prior to the date of this Agreement or prior to any such time this representation is repeated or deemed to be made, became effective upon filing and no stop order suspending the Pricing Agreement; effectiveness of the Shelf Registration Statement or any part thereof has been issued or is in effect and no proceeding for that purpose has been initiated or threatened by the Commission or by the state securities authority of any jurisdiction, and no notice of objection of the SEC Commission to the use of such the Shelf Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the . The Shelf Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed complies in all material respects to with the applicable requirements of the Securities Act and the Trust Indenture Securities Exchange Act of 1934, as amended (the “Exchange Act”), and did the respective rules thereunder and does not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. At ; provided, however, that the Applicable Time, Company and the Operating Partnership make no representations or warranties as to the information contained in or omitted from the Shelf Registration Statement or any related prospectus supplement in reliance upon and the Pricing Prospectus conformed in all material respects conformity with information furnished in writing to the requirements of Company or the Securities Act, Operating Partnership by the Trust Indenture Act, and neither Holder specifically for inclusion in the Shelf Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Informationrelated prospectus supplement.
Appears in 5 contracts
Sources: Exchange Agreement (Digital Realty Trust, Inc.), Exchange Agreement (Digital Realty Trust, Inc.), Exchange Agreement (Digital Realty Trust, Inc.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that Company has been prepared and filed with the SEC not earlier than three years prior to Securities and Exchange Commission (the date of the Pricing Agreement; no notice of objection of the SEC to the use of such “Commission”) a Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2on Form F-1 (the “Registration Statement”) under the Securities Act has been received of 1933, as amended (the “Securities Act”) and a prospectus included therein (the “Prospectus”) covering the Securities to be offered and sold in the Placement. The Registration Statement (including the Prospectus therein), and all amendments and supplements thereto, will be in form reasonably satisfactory to Aegis and counsel to Aegis. Other than any information provided by the Company; and no order suspending the effectiveness of Aegis in writing specifically for inclusion in the Registration Statement or the Prospectus, the Company will be solely responsible for the contents of its Registration Statement and Prospectus and any part thereof has been issued and all other written or oral communications provided by the SEC and no proceeding for that purpose or pursuant to Section 8A on behalf of the Securities Act against Company to any actual or prospective investor of the Securities, and the Company or related to the offering represents and warrants that such materials and such other communications will not, as of the Securities has been initiated or is pending or, to the knowledge date of the Company, is contemplated offer or threatened by the SEC, and any request on the part sale of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateSecurities, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as If at any time prior to the completion of the Closing Date, did not offer and will not include any sale of the Securities an event occurs that would cause the Registration Statement or Prospectus (as supplemented or amended) to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation will notify Aegis immediately of such event and Aegis will suspend solicitations of the prospective purchasers of the Securities until such time as the Company shall prepare a supplement or warranty with respect amendment to Underwriter Informationthe Registration Statement or Prospectus that corrects such statement or omission.
Appears in 5 contracts
Sources: Placement Agent Agreement (Innovation Beverage Group LTD), Placement Agent Agreement (Innovation Beverage Group LTD), Placement Agent Agreement (Innovation Beverage Group LTD)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the CompanyCompany or the Guarantor; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or the Guarantor or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does and the Guarantor do not make any representation or warranty with respect to Underwriter Information.
Appears in 4 contracts
Sources: Pricing Agreement (America Movil Sab De Cv/), Pricing Agreement (America Movil Sab De Cv/), Underwriting Agreement (Mobile Radio Dipsa)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC Commission not earlier than three years prior to the date of the Pricing this Underwriting Agreement; no notice of objection of the SEC Commission to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC Commission and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SECCommission, and any request on the part of the SEC Commission for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the U.S. Trust Indenture Act of 1939, as amended (the “Trust Indenture Act”), and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, Act and the Trust Indenture Act, and neither the (i) Registration Statement (as amended or supplemented by the Pricing Prospectus) nor (ii) the Time of Sale General Disclosure Package Package, included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectus, as of its date complied, and as of the Closing DateTime will comply, in all material respects with the Securities Act, and, as of its date did not not, and as of the Closing Time will not not, include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding This representation, warranty and agreement shall not apply to statements in or omissions from the foregoingRegistration Statement, the Pricing Prospectus, the Prospectus or the General Disclosure Package made in reliance upon and in conformity with information furnished to the Company does not make any representation or warranty with respect to Underwriter Informationin writing by the Underwriters expressly for use therein.
Appears in 4 contracts
Sources: Underwriting Agreement (Grupo Televisa, S.A.B.), Underwriting Agreement (Grupo Televisa, S.A.B.), Underwriting Agreement (Grupo Televisa, S.A.B.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (Statement, as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to of the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-when it is declared effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed will conform in all material respects to the requirements of the U.S. Securities Act and the Trust Indenture Act rules and did regulations thereunder and as of such date will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, The preliminary prospectus contained in the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements as of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included date hereof does not include any untrue statement of a material fact or omitted omit to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under in which they were are made, not misleading. The Final Prospectus, as (A) at the time of its date filing of the Final Prospectus pursuant to Rule 424(b) under the U.S. Securities Act and as of (B) on the Closing Date, did not will conform in all material respects to the requirements of the U.S. Securities Act and the rules and regulations thereunder and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were are made, not misleading. Notwithstanding “Registration Statement” means the foregoingregistration statement of VIA on Form F-1, as amended, including any prospectus filed and to be filed pursuant to Rule 424 under the Company does not make U.S. Securities Act, and any representation or warranty with respect free writing prospectuses, relating to Underwriter Informationthe IPO. “Final Prospectus” means the prospectus forming part of the Registration Statement which VIA shall file pursuant to Rule 424 under the U.S. Securities Act that discloses the public offering price, other information included pursuant to Rule 430A under the U.S. Securities Act and other final terms of the Ordinary Shares and the ADSs and otherwise satisfies Section 10(a) of the U.S. Securities Act.
Appears in 3 contracts
Sources: Investment Agreement (Via Optronics AG), Investment Agreement (Via Optronics AG), Investment Agreement (Via Optronics AG)
Registration Statement. The To the extent the Company decides to proceed with the Placement, the Company will, as soon as practicable, prepare and file with the Securities and Exchange Commission (the “Commission”) a Registration Statement is an on Form F-1 (the “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2Statement”) under the Securities Act has been received of 1933, as amended (the “Securities Act”) and a prospectus included therein (the “Prospectus”) covering the Securities to be offered and sold in the Placement. The Registration Statement (including the Prospectus therein), and all amendments and supplements thereto, will be in form reasonably satisfactory to Aegis and counsel to Aegis. Other than any information provided by the Company; and no order suspending the effectiveness of Aegis in writing specifically for inclusion in the Registration Statement or the Prospectus, the Company will be solely responsible for the contents of its Registration Statement and Prospectus and any part thereof has been issued and all other written or oral communications provided by the SEC and no proceeding for that purpose or pursuant to Section 8A on behalf of the Securities Act against Company to any actual or prospective investor of the Securities, and the Company or related to the offering represents and warrants that such materials and such other communications will not, as of the Securities has been initiated or is pending or, to the knowledge date of the Company, is contemplated offer or threatened by the SEC, and any request on the part sale of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateSecurities, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as If at any time prior to the completion of the Closing Date, did not offer and will not include any sale of the Securities an event occurs that would cause the Registration Statement or Prospectus (as supplemented or amended) to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation will notify Aegis immediately of such event and Aegis will suspend solicitations of the prospective purchasers of the Securities (“Purchasers”) until such time as the Company shall prepare a supplement or warranty with respect amendment to Underwriter Informationthe Registration Statement or Prospectus that corrects such statement or omission.
Appears in 3 contracts
Sources: Placement Agent Agreement (Clearmind Medicine Inc.), Placement Agent Agreement (Clearmind Medicine Inc.), Placement Agent Agreement (Clearmind Medicine Inc.)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on May 5, 2021. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the Closing Datedate of this Agreement the Company is not, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Securities, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 3 contracts
Sources: Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Purchase Agreement (Tonix Pharmaceuticals Holding Corp.), Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Registration Statement. (i) The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orStatement, to the knowledge of the Companywhen it became effective, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain and, as amended or supplemented, if applicable, will not contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At , (ii) the Applicable TimeTime of Sale Prospectus does not, and at the time of each sale of the Shares to be sold by such Selling Shareholder in connection with the offering when the Prospectus is not yet available to prospective purchasers and at the Closing Date, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements Time of the Securities ActSale Prospectus, the Trust Indenture Act, and neither the Registration Statement (as then amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included Company, if applicable, will not, contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The , (iii) each broadly available road show, if any, when considered together with the Time of Sale Prospectus, as of its date and as of the Closing Date, did does not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading and (iv) the Prospectus does not contain and, as amended or supplemented, if applicable, will not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding ; provided that the foregoingrepresentations and warranties set forth in this paragraph 2(g) are limited to statements or omissions made in reliance upon and in conformity with information relating to such Selling Shareholder furnished to the Company in writing by such Selling Shareholder expressly for use in the Registration Statement, the Company does not make Time of Sale Prospectus, the Prospectus or any representation amendments or warranty supplements thereto, it being understood and agreed that such information is limited to the name of such Selling Shareholder, the number of offered Shares by such Selling Shareholder and the address and other information with respect to Underwriter such Selling Shareholder that appear in the footnotes under the caption “Principal and Selling Shareholders” in the Registration Statement, any Time of Sale Prospectus, the Prospectus, any issuer free writing prospectus and any amendment or supplement thereto (collectively, the “Selling Shareholder Information”).
Appears in 3 contracts
Sources: Underwriting Agreement (Liberty Oilfield Services Inc.), Underwriting Agreement (Liberty Oilfield Services Inc.), Underwriting Agreement (Liberty Oilfield Services Inc.)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on November 28, 2018. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the Closing Datedate of this Agreement the Company is not, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Securities, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 3 contracts
Sources: Purchase Agreement (Netlist Inc), Purchase Agreement (Netlist Inc), Purchase Agreement (Netlist Inc)
Registration Statement. 5.01. The Registration Statement is an “automatic shelf registration statement” (Company will procure, at its expense, as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness many printed copies of the Registration Statement or any part thereof has been issued as the Underwriter may reasonably require for the purposes contemplated by the SEC this Agreement and no proceeding for that purpose or pursuant to Section 8A shall deliver said printed copies of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied withto the Underwriter as soon as practical after the Effective Date.
5.02. As If during such period of time as in the reasonable opinion of the Underwriter or its applicable effective datecounsel a Registration Statement relating to this Offering is required to be delivered under Form S-3, or any event occurs or any event known to the Company relating to or affecting the Company shall occur as a result of which the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not as then amended or supplemented would include any an untrue statement of a material fact fact, or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as or if it is necessary at any time after the Effective Date of the Closing DateRegistration Statement to amend or supplement the Registration Statement to comply with Form S-3, did not the Company will forthwith notify the Underwriter thereof and prepare and file with the securities commissions of such states in which the offering is qualified for sale, if any and the Commission such further amendment to the Registration Statement or supplemented or amended Registration Statement as may be required and furnish and deliver to the Underwriter and to others whose names and addresses are designated by the Underwriter, all at the cost of the Company, a reasonable number of copies of the amended or supplemented Registration Statement which as so amended or supplemented will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, Registration Statement not misleading in the light of the circumstances under when it is delivered to a purchaser or prospective purchaser, and which they were madewill comply in all respects with Form S-3 and the Securities Act.
5.03. The Company authorizes the Underwriter and the Selected Dealers, not misleading. Notwithstanding if any, in connection with the foregoingdistribution of the Units and all dealers to whom any of the Units may be sold by the Underwriter or by any Selected Dealer, to use the Registration Statement, as from time to time amended or supplemented, in connection with the offering and sale of the Units and in accordance with the applicable provisions of Form S-3, the Company does not make any representation applicable Rules and Regulations and applicable state blue sky or warranty with respect to Underwriter Informationsecurities laws, if any.
Appears in 2 contracts
Sources: Underwriting Agreement (Zion Oil & Gas Inc), Underwriting Agreement (Zion Oil & Gas Inc)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on November 13, 2018. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement without reliance on General Instruction I.B.6. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 2 contracts
Sources: Purchase Agreement (Microvision, Inc.), Purchase Agreement (Microvision, Inc.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior Statement, including any amendment thereto and any information deemed to be included therein pursuant to the date rules and regulations of the Pricing Agreement; no notice of objection of United States Securities and Exchange Commission (the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2“SEC”) promulgated under the Securities Act has been received by of 1933, as amended (the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the “Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orAct”), to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and did regulations of the SEC promulgated thereunder, and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAs of the date it is declared effective by the SEC, the Registration Statement, as of its date so amended, and as any related registration statements, will comply in all material respects with the requirements of the Closing DateSecurities Act and the rules and regulations of the SEC promulgated thereunder, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding Any preliminary prospectus included in the foregoingRegistration Statement or any amendment thereto, any free writing prospectus related to the Company does Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and, taken together, will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make any representation or warranty with respect to Underwriter Informationthe statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Sources: Common Stock Subscription Agreement (USHG Acquisition Corp.), Common Stock Subscription Agreement (USHG Acquisition Corp.)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under in conformity with the requirements of the Securities Act) that has , which became effective on , including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form S-1. The Company is eligible to use Form S-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering and during the twelve (12) months prior to this offering, as set forth in General Instruction I.B.1. of Form S-3.
Appears in 2 contracts
Sources: Placement Agent Agreement (Lixte Biotechnology Holdings, Inc.), Securities Purchase Agreement (Lixte Biotechnology Holdings, Inc.)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on August 10, 2018. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities ActAct and available for the issuance of the Purchase Shares (and all Conversion Shares) thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has threatened in writing to do so. The “Plan of Distribution” section of the Prospectus permits the issuance of the Purchase Shares (and all Conversion Shares) under the terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A Rule 430B(f)(2) of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Closing Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusSEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Purchase Shares (as well as Conversion Shares) to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. The Company has not distributed any offering material in connection with the offering and as sale of any of the Closing DatePurchase Shares (and all Conversion Shares), did and, until the Investor does not hold any of the Purchase Shares (or Conversion Shares), shall not distribute any offering material in connection with the offering and sale of any of the Purchase Shares (or Conversion Shares), to or by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not include make, an offer relating to the Purchase Shares (or any untrue statement Conversion Shares) that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of a material fact or omit Rules 164 and 433 under the Securities Act applicable to state any material fact required such free writing prospectus consented to be stated therein or necessary to make by the statements thereinInvestor, including in light respect of timely filing with the circumstances under which they were madeSEC, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Informationlegending and record keeping.
Appears in 2 contracts
Sources: Purchase Agreement (MGT Capital Investments, Inc.), Purchase Agreement (MGT Capital Investments, Inc.)
Registration Statement. The (a) Nextel shall file the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior and use its commercially reasonable efforts to the date of the Pricing Agreement; no notice of objection of the SEC to the use of cause such Registration Statement to become effective as promptly as practicable, and shall use its commercially reasonable efforts to take any action required to be taken to comply in all material respects with any applicable federal or any post-effective amendment thereto pursuant state securities laws in connection with the issuance of Nextel Common Stock; except that such covenant of Nextel is made, as to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness those portions of the Registration Statement containing or any part thereof has been issued by required to contain Chadmoore Information, assuming and relying on timely and full compliance with Section 4.04.
(b) Nextel shall use its commercially reasonable efforts so that the SEC and no proceeding for that purpose or pursuant to Section 8A of information included in the Securities Act against Registration Statement, shall not, at the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to time the Registration Statement has been complied with. As of its applicable effective dateis declared effective, at the Registration Statement conformed in all material respects time the proxy statement/prospectus contained therein is first mailed to Chadmoore's shareholders, or at the requirements time of the Securities Act and meeting of the Trust Indenture Act and did not include shareholders of Chadmoore to approve the transactions contemplated by this Agreement, contain any untrue statement of a material fact or fact, omit to state any material fact required to be stated therein therein, or omit to state any material fact necessary in order to make the statements therein not misleading. At the Applicable Time; except that such covenant of Nextel is made, as to those portions of the Registration Statement containing or required to contain Chadmoore Information, assuming and relying on timely and full compliance with Section 4.04. If at any time prior to the Pricing Prospectus conformed Closing Date any event or circumstance should come to the attention of Nextel which is required to be set forth in an amendment or supplement to the Registration Statement, Nextel will use its commercially reasonable efforts to appropriately amend or supplement the Registration Statement. An amendment or supplement may be accomplished, to the extent permitted by law, rule or regulation, by including such information in a filing under the Exchange Act that is incorporated by reference into the Registration Statement. The Registration Statement and all other documents required to be filed by Nextel with the SEC in connection with the transactions contemplated herein will comply as to form and substance in all material respects to with the applicable requirements of the Securities Act, Act and the Trust Indenture Act, rules and neither regulations thereunder and the Registration Statement (as amended Exchange Act and the rules and regulations thereunder; except that Nextel shall have no liability or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included obligation for any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Chadmoore Information.
Appears in 2 contracts
Sources: Agreement and Plan of Reorganization (Chadmoore Wireless Group Inc), Agreement and Plan of Reorganization (Recovery Equity Investors Ii Lp)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on April 18, 2014. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.6. of Form S-3 and the Staff Interpretations, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that, for so long as the Company is subject to General Instruction I.B.6. of Form S-3 and the Staff Interpretations, the Company shall not issue any shares of Common Stock pursuant to this Agreement if such issuance would reasonably be expected to result in non-compliance with General Instruction I.B.6. of Form S-3 and the Staff Interpretations. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 2 contracts
Sources: Purchase Agreement (RXi Pharmaceuticals Corp), Purchase Agreement (RXi Pharmaceuticals Corp)
Registration Statement. The Prosperity agrees that none of the information supplied or to be supplied by it for inclusion or incorporation by reference in: (A) the Registration Statement, at the time the Registration Statement and each amendment or supplement thereto, if any, is an “automatic shelf registration statement” (as defined under Rule 405 filed and becomes effective under the Securities Act; (B) that has been filed with the SEC not earlier than three years prior Proxy Statement and any amendment or supplement thereto, at the date(s) of filing and mailing to shareholders and at the date time of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the CompanyProsperity Meeting; and no order suspending the effectiveness of the Registration Statement (C) any other filings made under applicable federal or any part thereof has been issued by the SEC and no proceeding for that purpose state banking or pursuant to Section 8A of the Securities Act against the Company securities or related to the offering of the Securities has been initiated or is pending orother Laws, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include shall contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding Prosperity further agrees that, if it shall become aware of any information that would cause any of the foregoing, statements in the Company does not make any representation Registration Statement or warranty the Proxy Statement to be false or misleading with respect to Underwriter Informationany material fact, or to omit to state any material fact necessary to make the statements therein not false or misleading, it shall promptly inform Legacy thereof and to take the necessary steps to correct the Registration Statement or the Proxy Statement. Prosperity agrees to advise Legacy, promptly after Prosperity receives notice thereof, of the time when the Registration Statement has become effective or any supplement or amendment has been filed, of the issuance of any stop order or the suspension of the qualification of Prosperity Shares for offering or sale in any jurisdiction, of the initiation or, to the extent Prosperity is aware thereof, threat of any proceeding for any such purpose, or of any request by the SEC for the amendment or supplement of the Registration Statement or for additional information. Prosperity agrees to promptly provide to Legacy copies of all correspondence between Prosperity or any of its representatives, on the one hand, and the SEC, on the other hand, related to the Registration Statement.
Appears in 2 contracts
Sources: Agreement and Plan of Reorganization (Prosperity Bancshares Inc), Agreement and Plan of Reorganization (LegacyTexas Financial Group, Inc.)
Registration Statement. The Company has filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on November 18, 2022. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The “Plan of Distribution” section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor in accordance with this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to Applicable Law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 2 contracts
Sources: Purchase Agreement (Meta Materials Inc.), Purchase Agreement (Meta Materials Inc.)
Registration Statement. The Registration Statement complied when it became effective, complies as of the date hereof and, as amended or supplemented, at the time of purchase, each additional time of purchase, if any, and at all times during which a prospectus is an “automatic shelf registration statement” required by the Act to be delivered (as defined under whether physically or through compliance with Rule 405 172 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement Act or any post-effective amendment thereto pursuant to Rule 401(g)(2similar rule) under the Securities Act has been received by the Company; and no order suspending the effectiveness in connection with any sale of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orUnits, to the knowledge of the Companywill comply, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to respects, with the requirements of the Securities Act and Act; the Trust Indenture Act and Registration Statement did not include any not, as of the Effective Time, contain an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At ; each Preliminary Prospectus complied, at the Applicable Timetime it was filed with the Commission, and complies as of the Registration Statement and the Pricing Prospectus conformed date hereof, in all material respects to with the requirements of the Securities Act; at no time during the period that begins on the earlier of the date of such Preliminary Prospectus and the date such Preliminary Prospectus was filed with the Commission and ends at the time of purchase did or will any Preliminary Prospectus, the Trust Indenture Act, and neither the Registration Statement (as then amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any supplemented, include an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The , and at no time during such period did or will any Preliminary Prospectus, as then amended or supplemented, together with any combination of its date and as one or more of the Closing Datethen-issued Permitted Free Writing Prospectuses, did not and will not if any, include any an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding ; the foregoingProspectus will comply, as of its date, the date that it is filed with the Commission, the time of purchase, each additional time of purchase, if any, and at all times during which a prospectus is required by the Act to be delivered (whether physically or through compliance with Rule 172 under the Act or any similar rule) in connection with any sale of Units, in all material respects, with the requirements of the Act (including, without limitation, Section 10(a) of the Act); at no time during the period that begins on the earlier of the date of the Prospectus and the date the Prospectus is filed with the Commission and ends at the later of the time of purchase, the latest additional time of purchase, if any, and the end of the period during which a prospectus is required by the Act to be delivered (whether physically or through compliance with Rule 172 under the Act or any similar rule) in connection with any sale of Units did or will the Prospectus, as then amended or supplemented, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; at no time during the period that begins on the date of such Permitted Free Writing Prospectus and ends at the time of purchase did or will any Permitted Free Writing Prospectus, when considered together with the most recent Preliminary Prospectus, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Company does not make any makes no representation or warranty with respect to any statement contained in the Registration Statement, any Preliminary Prospectus, the Prospectus or any Permitted Free Writing Prospectus in reliance upon and in conformity with information furnished in writing by or on behalf of an Underwriter Informationthrough you to the Company expressly for use in the Registration Statement, such Preliminary Prospectus, the Prospectus or such Permitted Free Writing Prospectus.
Appears in 2 contracts
Sources: Underwriting Agreement (Atlas Energy Resources, LLC), Underwriting Agreement (Atlas Energy Resources, LLC)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior JOINT PROXY STATEMENT/PROSPECTUS. Subject to the date accuracy of the Pricing Agreement; no notice of objection representations contained in SECTION 6.17, the information supplied by the Company and its subsidiaries for inclusion in the registration statement (the "REGISTRATION STATEMENT") covering the shares of the SEC Buyer's Stock to the use of such Registration Statement or any post-effective amendment thereto be issued pursuant to Rule 401(g)(2) under this Agreement shall not, at the Securities Act has been received by the Company; and no order suspending the effectiveness of time the Registration Statement (including any amendments or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or supplements thereto) is pending or, to the knowledge of the Company, is contemplated or threatened declared effective by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material Material fact or omit to state any material Material fact required to be stated therein or necessary to make the statements therein not misleading. At The information supplied by the Applicable Time, Company and its subsidiaries for inclusion in the Registration Statement joint proxy statement/prospectus to be sent to the shareholders of the Buyer and the Pricing Prospectus conformed in all material respects Company to consider the requirements Holding Company Merger and the issuance of shares of the Securities Act, Buyer's Stock in connection with the Trust Indenture Act, and neither Holding Company Merger (the Registration Statement "SHAREHOLDER MEETINGS") (such proxy statement/prospectus as amended or supplemented by is referred to herein as the Pricing Prospectus"JOINT PROXY STATEMENT/PROSPECTUS") nor will not, on the Time date the Joint Proxy Statement/Prospectus is first mailed to shareholders, at the time of Sale Disclosure Package included the Shareholder Meetings and at the Effective Time, contain any untrue statement of a material Material fact or omitted omit to state any material Material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The If at any time prior to the Effective Time any event relating to the Company or its subsidiaries or any of their affiliates, officers or directors should be discovered by the Company and its subsidiaries that should be set forth in an amendment to the Registration Statement or a supplement to the Joint Proxy Statement/Prospectus, as of its date and as of the Closing Date, did not and Company will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make promptly inform the statements therein, in light of the circumstances under which they were made, not misleadingBuyer. Notwithstanding the foregoing, neither the Company does not make nor any of its subsidiaries makes any representation or warranty with respect to Underwriter Information.any information supplied by the
Appears in 2 contracts
Sources: Merger Agreement (First Savings Bancorp Inc), Merger Agreement (First Bancorp /Nc/)
Registration Statement. The (a) Each of Flag and FCB agrees to cooperate in the preparation of a Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been to be filed by Flag with the SEC not earlier in connection with the issuance of Flag Common Stock in the Merger (including the Joint Proxy Statement and all related documents). Provided FCB has cooperated as required above, Flag agrees to file the Registration Statement with the SEC as promptly as practicable, but in no event later than three years prior to 30 days after the date of the Pricing this Agreement; no notice . Each of objection of the SEC FCB and Flag agrees to the use of such Registration Statement or any post-effective amendment thereto pursuant all reasonable efforts to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of cause the Registration Statement to be declared effective under the 1933 Act as promptly as reasonably practicable after filing thereof. Flag also agrees to use all reasonable efforts to obtain all necessary state securities law or any part thereof has been issued “Blue Sky” permits and approvals required to carry out the transactions contemplated by this Agreement. FCB agrees to furnish Flag all information concerning FCB, the SEC FCB Subsidiaries and no proceeding for their respective officers, directors and shareholders as may be reasonably requested in connection with the foregoing.
(b) Each of FCB and Flag agrees, as to itself and its Subsidiaries, that purpose or pursuant to Section 8A none of the Securities Act against the Company information supplied or related to the offering of the Securities has been initiated be supplied by it for inclusion or is pending or, to the knowledge of the Company, is contemplated or threatened incorporation by the SEC, and any request on the part of the SEC for additional information pertaining to reference in (i) the Registration Statement has been complied with. As of its applicable effective datewill, at the time the Registration Statement conformed in all material respects to and each amendment or supplement thereto, if any, becomes effective under the requirements of the Securities Act and the Trust Indenture Act and did not include 1933 Act, contain any untrue statement of a material Material fact or omit to state any material Material fact required to be stated therein or necessary to make the statements therein not misleading. At , and (ii) the Applicable Time, the Registration Joint Proxy Statement and any amendment or supplement thereto will, at the Pricing Prospectus conformed in all material respects date of mailing to FCB shareholders and at the requirements time of the Securities ActFCB Meeting, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included contain any untrue statement of a material Material fact or omitted omit to state any material Material fact required to be stated therein or necessary to make the statements thereintherein not misleading with respect to any Material fact, in light of the circumstances under or which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material Material fact required necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier statement in the Joint Proxy Statement or any amendment or supplement thereto. Each of FCB and Flag further agrees that if it shall become aware prior to the Effective Date of any information that would cause any of the statements in the Joint Proxy Statement to be stated therein false or misleading with respect to any Material fact, or to omit to state any Material fact necessary to make the statements thereintherein not false or misleading, in light to promptly inform the other Party thereof and to take the necessary steps to correct the Joint Proxy Statement.
(c) Flag will advise FCB, promptly after Flag receives notice thereof, of the circumstances under which they were madetime when the Registration Statement has become effective or any supplement or amendment has been filed, not misleading. Notwithstanding or of the foregoingissuance of any stop order or the suspension of the qualification of the Flag Common Stock for offering or sale in any jurisdiction, of the Company does not make initiation or threat of any representation proceeding for any such purpose, or warranty of any request by the SEC for the amendment or supplement of the Registration Statement or for additional information.
(d) Nothing in this Section 8.2 or elsewhere in this Agreement shall prohibit accurate disclosure by FCB of information that is required to be disclosed in the Registration Statement or the Joint Proxy Statement or in any other document required to be filed with respect the SEC (including, without limitation, a Solicitation/Recommendation Statement on Schedule 14D-9) or otherwise required to Underwriter Informationbe publicly disclosed by applicable Law.
Appears in 2 contracts
Sources: Merger Agreement (First Capital Bancorp, Inc.), Merger Agreement (Flag Financial Corp)
Registration Statement. The If and only if the submission of an Advance Notice by the Holder in accordance with the procedures set forth in the SEPA is not available to the Holder, the Company will use its commercially reasonable efforts to file with the SEC, within 15 Business Days following receipt of written request of the Holder, a shelf registration statement on Form S-3 (or if not then eligible, on Form S-1) (the “Initial Registration Statement”) including a base prospectus (such base prospectus included in the Initial Registration Statement, as supplemented or amended from time to time shall be referred to herein as the “Prospectus”) for the purpose of registering the resale by the Holder of any shares of Common Stock issuable to the Holder upon conversion of this Note pursuant to Section 3, and the Company will use its commercially reasonable efforts to have the Initial Registration Statement is an “automatic shelf registration statement” (declared effective by the SEC. Except where the context otherwise requires, the Initial Registration Statement, as defined under Rule 405 under the Securities Act) that has been amended when it becomes effective, including all documents filed as part thereof or incorporated by reference therein, and including any information contained in a Prospectus subsequently filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2424(b) under the Securities Act has been received by or deemed to be a part of the Company; and no order suspending Initial Registration Statement pursuant to Rule 430B of the effectiveness of Securities Act, is herein called the “Registration Statement.” At the time the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective datebecomes effective, the Registration Statement conformed and any amendments thereto will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus conformed and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto is issued, will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.
Appears in 2 contracts
Sources: Convertible Promissory Note (micromobility.com Inc.), Convertible Promissory Note (micromobility.com Inc.)
Registration Statement. The Such counsel shall also have furnished to the Representatives a written statement, dated the Firm Closing Date, addressed to the Underwriters, to the effect that (x) such counsel has participated in the preparation of the Original Registration Statement is an “automatic shelf registration statement” and any Rule 462(b) Registration Statement, and (as defined under Rule 405 under y) based upon such participation, no facts have come to their attention which lead them to believe that the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Original Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2462(b) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (other than the financial statements, related schedules and other statistical and financial data included therein, as amended or supplemented by to which such counsel need express no belief), as of the Pricing Prospectus) nor time it became effective under the Time of Sale Disclosure Package included Act, contained any untrue statement of a material fact or omitted to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading, or that the Prospectus (other than the financial statements, related schedules and other statistical and financial data included therein, as to which such counsel need express no belief), as of its date or the date of such opinion, contained or contains any untrue statement of a material fact or omitted or omits to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The foregoing opinion and statement may be qualified by a statement to the effect that such counsel has not independently verified, does not pass upon and does not assume any responsibility for, the accuracy, completeness or fairness of the statements contained in the Original Registration Statement, any Rule 462(b) Registration Statement or the Prospectus. In rendering such opinion, such counsel may rely, as to certain factual matters, without any independent investigation, inquiry or verification, upon statements or certificates of its date officers and as other representatives of the Closing DateCompany (including the representations of the Company contained in this Agreement), did not certificates of public officials, certificates or written statements of officers of departments of various jurisdictions having custody of documents relating to the corporate existence, foreign qualification and will not good standing of the Company and written statements of representatives of The Nasdaq Stock Market. References to the Original Registration Statement, any Rule 462(b) Registration Statement and the Prospectus in this paragraph (b) shall include any untrue statement amendment to supplement thereto at the date of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Informationsuch opinion.
Appears in 2 contracts
Sources: Underwriting Agreement (Greenmountain Com Co), Underwriting Agreement (Greenmountain Com Co)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on October 28, 2014. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Purchase Shares thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has threatened in writing to do so. The “Plan of Distribution” section of the Prospectus permits the issuance of the Purchase Shares hereunder. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A Rule 430B(f)(2) of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Purchase Shares contemplated by this Agreement and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingPurchase Shares, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Purchase Shares, and, until the Investor does not make hold any representation of the Purchase Shares, shall not distribute any offering material in connection with the offering and sale of any of the Purchase Shares, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Purchase Shares that could constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 2 contracts
Sources: Capital Access Agreement (Immune Pharmaceuticals Inc), Capital Access Agreement (Immune Pharmaceuticals Inc)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 Statement, and any amendment thereto, including any information deemed to be included therein pursuant to the rules and regulations SEC promulgated under the Securities Act) that has been , complied (or, in the case of amendments filed with the SEC not earlier than three years prior to after the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2hereof, will comply) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of amendments filed after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAs of the date it is declared effective by the SEC, the Registration Statement, as of its date so amended, and as any related registration statements, will comply in all material respects with the requirements of the Closing DateSecurities Act and the rules and regulations of the SEC promulgated thereunder, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading. The preliminary prospectus included in the Registration Statement as of the date the Registration Statement is declared effective by the SEC, and any free writing prospectus related to the Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.
Appears in 2 contracts
Sources: Class a Ordinary Shares Purchase Agreement (Agora, Inc.), Class a Ordinary Shares Purchase Agreement (Agora, Inc.)
Registration Statement. The information supplied by the Company for inclusion in the Registration Statement shall not at the time the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to and at the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-time it becomes effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. At The information supplied by the Applicable TimeCompany for inclusion or incorporation by reference in the Proxy Statement/Prospectus shall not, on the Registration Statement and date the Pricing Proxy Statement/Prospectus conformed in all material respects is mailed to Company Stockholders or Parent Stockholders, at the requirements time of the Securities Actmeeting of Company Stockholders (the "COMPANY STOCKHOLDERS' MEETING") to consider the Company Stockholder Approval, at the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light time of the circumstances under which they were made, not misleading. The Prospectus, as meeting of its date and Parent Stockholders (the "PARENT STOCKHOLDERS' MEETING") to consider the Parent Stockholder Approval or as of the Closing DateEffective Time, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were are made, not false or misleading, or omit to state any material fact necessary to correct any statement in any earlier communication with respect to the solicitation of proxies for the Company Stockholders' Meeting or the Parent Stockholders' Meeting which has become false or misleading. The proxy statement included in the Proxy Statement/Prospectus will comply as to form in all material respects with the provisions of the Exchange Act and the rules and regulations thereunder. If at any time prior to the Effective Time any event relating to the Company or any of its Affiliates, officers or directors should be discovered by the Company which is required to be set forth in an amendment to the Registration Statement or a supplement to the Proxy Statement/Prospectus, the Company shall promptly inform Parent. Notwithstanding the foregoing, the Company does not make any makes no representation or warranty with respect to Underwriter Informationany statements made or incorporated by reference therein based on information supplied by Parent or Merger Sub that is contained (including by incorporation by reference) in any of the foregoing documents.
Appears in 2 contracts
Sources: Agreement and Plan of Reorganization (Lau Acquisition Corp), Agreement and Plan of Reorganization (Viisage Technology Inc)
Registration Statement. The To the Company’s knowledge, the Registration Statement is an “automatic shelf registration statement” when confidentially submitted or filed (as defined under Rule 405 under the Securities Actapplicable) that has been filed with the SEC not earlier than three years prior and any amendment thereto, including any information deemed to be included therein pursuant to the date of the Pricing Agreement; no notice of objection rules and regulations of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) promulgated under the Securities Act has been received by of 1933, as amended (the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the “Securities Act against the Company or related to the offering of the Securities has been initiated or is pending Act”), complied (or, to in the knowledge case of confidential submissions or filings made after the Companydate of this Agreement, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply) as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of confidential submissions or filings made after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The ProspectusAs of the date it is declared effective by the SEC, the Registration Statement, as of its date so amended, and as any related registration statements, will comply in all material respects with the requirements of the Closing DateSecurities Act and the rules and regulations of the SEC promulgated thereunder, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding Any preliminary prospectus included in the foregoingRegistration Statement or any amendment thereto, any free writing prospectus related to the Company does Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make any representation or warranty with respect to Underwriter Informationthe statements therein, in light of the circumstances under which they were made, not misleading.
Appears in 2 contracts
Sources: Common Stock Purchase Agreement (Endeavor Group Holdings, Inc.), Common Stock Purchase Agreement (Endeavor Group Holdings, Inc.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under meets the requirements set forth in Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2415(a)(1)(x) under the Securities Act and complies with said Rule and the U.S. Prospectus Supplement will meet the requirements set forth in Rule 424(b). The Company has been received by advised the Company; Co-Lead Underwriters of all further information (financial and no other) with respect to the Company required to be set forth therein in the Registration Statement and U.S. Prospectus Supplement. The Registration Statement has become effective under the Securities Act. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC is in effect and no proceeding proceedings for that such purpose have been instituted or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is are pending or, to the knowledge of the Company, is are contemplated or threatened by the SEC, . The U.S. Prospectus when filed complied in all material respects with the Securities Act and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed is identical in all material respects to the requirements copies thereof delivered to the Underwriters for use in connection with the offer and sale of the Units. Each of the Registration Statement and any post-effective amendment thereto, at the time each part thereof became effective pursuant to the Securities Act and at the Trust Indenture First Closing Date and each Option Closing Date, complied and will comply in all material respects with the Securities Act and did not include and, any amendment or supplement thereto, will not contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At As of the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included did not, and at the time of the First Closing Date and each Option Closing Date, the Time of Sale Disclosure Package, as then amended or supplemented by the Company, if applicable, will not, contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The U.S. Prospectus, as amended or supplemented, as of its date and as of at the First Closing Date and each Option Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding The representations and warranties set forth in the foregoingthree immediately preceding sentences shall not apply to statements in, or omissions from, any such document made in reliance upon, and in conformity with, information furnished to the Company does by the Underwriters specifically for use in the preparation thereof as set forth in Section 10(2). There are no agreements, contracts, arrangements or understandings (written or oral) or other documents required to be described in the Time of Sale Prospectus or the U.S. Prospectus or to be filed as exhibits to the Registration Statement which have not make any representation been described or warranty with respect to Underwriter Informationfiled as required.
Appears in 2 contracts
Sources: Underwriting Agreement (Energy Fuels Inc), Underwriting Agreement (Energy Fuels Inc)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of Company shall keep the Registration Statement (including any amendments or any part thereof has been issued supplements thereto and prospectuses contained therein) effective at all times and available for use by the SEC Company and no proceeding for that purpose or pursuant to Section 8A the Purchasers until the earlier of the time at which (a) no Purchaser owns any Securities Act against or (b) the Warrants have expired. The Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to shall ensure that the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act (including any amendments or supplements thereto and the Trust Indenture Act and did prospectuses contained therein) shall not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein therein, or necessary to make the statements therein (in the case of prospectuses, in the light of the circumstances in which they were made) not misleading, and the Company will immediately notify each of the Purchasers of such an untrue statement or omission. At After the Applicable Timedate hereof and during any period in which a Prospectus or Prospectus Supplement relating to any of the Securities is required to be delivered by any Purchaser under the Securities Act (including in circumstances where such requirement may be satisfied pursuant to Rule 172 under the Securities Act), (i) the Company will notify the Purchasers promptly of the time when any subsequent amendment to the Registration Statement Statement, other than documents incorporated by reference, has been filed with the Commission and/or has become effective or any subsequent supplement to the Prospectus that relates to any of the Securities or any of the Purchasers or any subsequent amendment to the Prospectus or any supplement or amendment to the Prospectus Supplement has been filed with the Commission and of any comment letter from the Commission or any request by the Commission for any amendment or supplement to the Registration Statement, any amendment to the Prospectus, any supplement to the Prospectus that relates to any of the Securities or any of the Purchasers or any amendment or supplement to the Prospectus Supplement or for additional information, (ii) the Company will prepare and file with the Commission, promptly upon a Purchaser’s request, any amendments or supplements to the Registration Statement, Prospectus or Prospectus Supplement that, in such Purchaser’s reasonable opinion, may be necessary or advisable in connection with any distribution (if any) of the Securities by such Purchaser (provided however, that the failure of such Purchaser to make such request shall not relieve the Company of any obligation or liability hereunder, or affect such Purchaser’s right to rely on the representations and warranties made by the Company in this Agreement); (iii) the Company will not file any amendment or supplement to the Registration Statement, Prospectus or Prospectus Supplement, other than documents incorporated by reference, relating to the Securities unless a copy thereof has been submitted to each Purchaser within a reasonable period of time before the filing and no Purchaser has reasonably objected in writing thereto (provided however, that (1) the failure of any Purchaser to make such objection shall not relieve the Company of any obligation or liability hereunder, or affect any Purchaser’s right to rely on the representations and warranties made by the Company in this Agreement, and (2) the Company has no obligation to provide a Purchaser any advance copy of such filing or to provide such Purchaser an opportunity to object to such filing if such filing does not name such Purchaser or specifically discuss the Securities as contemplated hereby) and the Pricing Company will furnish to each Purchaser at the time of filing thereof a copy of any document that upon filing is deemed to be incorporated by reference into the Registration Statement, Prospectus conformed in all material respects or Prospectus Supplement, except for those documents available via ▇▇▇▇▇; and (iv) the Company will cause each amendment or supplement to the requirements Prospectus or the Prospectus Supplement, other than documents incorporated by reference, to be filed with the Commission as required pursuant to the applicable paragraph of Rule 424(b) of the Securities Act (without reliance on Rule 424(b)(8) of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information).
Appears in 2 contracts
Sources: Securities Purchase Agreement (MDRNA, Inc.), Securities Purchase Agreement (MDRNA, Inc.)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under with respect to the Registered Securities in conformity with the requirements of the Securities Act) that has , which became effective on December 3, 2025, including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form F-3. The Company is eligible to use Form F-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering and during the twelve (12) months prior to this offering, as set forth in General Instruction I.B.5 of Form F-3.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Polyrizon Ltd.), Securities Purchase Agreement (Polyrizon Ltd.)
Registration Statement. The Registration Statement was declared effective by order of the SEC on November 14, 2018. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Purchase Shares thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has threatened in writing to do so. The “Plan of Distribution” section of the Prospectus covers the issuance of the Purchase Shares hereunder. At the time the Registration Statement and any amendment thereto became effective, at the date of this Agreement and at each deemed effective date thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A Rule 430B(f)(2) of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Closing Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. At the time the Registration Statement was originally filed with the SEC, the Company met the then-applicable requirements for use of Form F-3 under the Securities Act and, as of the date hereof, the Company meets all of the requirements for the use of a registration statement on Form F-3 pursuant to the Securities Act for the offering and sale of the Purchase Shares contemplated by this Agreement in reliance on General Instruction I.B.5. of Form F-3. The ProspectusSEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the offer, issuance and sale of the Purchase Shares to the Investor pursuant to this Agreement would not result in the offer, issuance or sale of Purchase Shares that would exceed the Maximum Share Cap or any other non-compliance with General Instruction I.B.5. of Form F-3. The Registration Statement, as of its date and effective date, met and, as of the Closing Datedate hereof, did not meets the requirements set forth in Rule 415(a)(1)(x) under the Securities Act. The documents incorporated or deemed to be incorporated by reference in the Registration Statement and the Prospectus, at the time they were or hereafter are filed with the SEC, or became effective under the Exchange Act, as the case may be, complied and will not include any untrue statement of a comply in all material fact or omit to state any material fact required to be stated therein or necessary to make respects with the statements therein, in light requirements of the circumstances under which they were made, not misleadingExchange Act. Notwithstanding At the foregoingearliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Purchase Shares, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Purchase Shares, and, until the Investor does not make hold any representation of the Purchase Shares, shall not distribute any offering material in connection with the offering and sale of any of the Purchase Shares, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Purchase Shares that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 2 contracts
Sources: Purchase Agreement (Auris Medical Holding AG), Purchase Agreement (Auris Medical Holding AG)
Registration Statement. The (a) Each of CSBI and ▇▇▇▇▇▇▇ agrees to cooperate in the preparation of a Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been to be filed by CSBI with the SEC not earlier in connection with the issuance of CSBI Common Stock in the Merger (including the Proxy Statement and all related documents). Provided ▇▇▇▇▇▇▇ has cooperated as required above, CSBI agrees to file the Registration Statement with the SEC as promptly as practicable, but in no event later than three years prior to 90 days after the date of the Pricing this Agreement; no notice . Each of objection of the SEC ▇▇▇▇▇▇▇ and CSBI agrees to the use of such Registration Statement or any post-effective amendment thereto pursuant all reasonable efforts to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of cause the Registration Statement to be declared effective under the 1933 Act as promptly as reasonably practicable after filing thereof. CSBI also agrees to use all reasonable efforts to obtain all necessary state securities law or any part thereof has been issued "Blue Sky" permits and approvals required to carry out the transactions contemplated by this Agreement. ▇▇▇▇▇▇▇ agrees to furnish CSBI all information concerning ▇▇▇▇▇▇▇, Bank and their respective officers, directors and shareholders as may be reasonably requested in connection with the SEC foregoing.
(b) Each of ▇▇▇▇▇▇▇ and no proceeding for CSBI agrees, as to itself and its Subsidiaries, that purpose or pursuant to Section 8A none of the Securities Act against the Company information supplied or related to the offering of the Securities has been initiated be supplied by it for inclusion or is pending or, to the knowledge of the Company, is contemplated or threatened incorporation by the SEC, and any request on the part of the SEC for additional information pertaining to reference in (i) the Registration Statement has been complied with. As of its applicable effective datewill, at the time the Registration Statement conformed in all material respects to and each amendment or supplement thereto, if any, becomes effective under the requirements of the Securities Act and the Trust Indenture Act and did not include 1933 Act, contain any untrue statement of a material Material fact or omit to state any material Material fact required to be stated therein or necessary to make the statements therein not misleading. At , and (ii) the Applicable Time, the Registration Proxy Statement and any amendment or supplement thereto will, at the Pricing Prospectus conformed in all material respects date of mailing to ▇▇▇▇▇▇▇ shareholders and at the requirements time of the Securities Act▇▇▇▇▇▇▇ Meeting, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included contain any untrue statement of a material Material fact or omitted omit to state any material Material fact required to be stated therein or necessary to make the statements thereintherein not misleading with respect to any Material fact, in light of the circumstances under or which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material Material fact required necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier statement in the Proxy Statement or any amendment or supplement thereto. Each of ▇▇▇▇▇▇▇ and CSBI further agrees that if it shall become aware prior to the Effective Date of any information that would cause any of the statements in the Proxy Statement to be stated therein false or misleading with respect to any Material fact, or to omit to state any Material fact necessary to make the statements thereintherein not false or misleading, in light to promptly inform the other Party thereof and to take the necessary steps to correct the Proxy Statement.
(c) In the case of CSBI, CSBI will advise ▇▇▇▇▇▇▇, promptly after CSBI receives notice thereof, of the circumstances under which they were madetime when the Registration Statement has become effective or any supplement or amendment has been filed, not misleading. Notwithstanding or of the foregoingissuance of any stop order or the suspension of the qualification of the CSBI Common Stock for offering or sale in any jurisdiction, of the Company does not make initiation or threat of any representation proceeding for any such purpose, or warranty of any request by the SEC for the amendment or supplement of the Registration Statement or for additional information.
(d) Nothing in this Section 8.2 or elsewhere in this Agreement shall prohibit accurate disclosure by ▇▇▇▇▇▇▇ of information that is required to be disclosed in the Registration Statement of the Proxy Statement or in any other document required to be filed with respect the SEC (including, without limitation, a Solicitation/Recommendation Statement on Schedule 14D-9) or otherwise required to Underwriter Informationbe publicly disclosed by applicable Law or the regulations and rules of the AMEX.
Appears in 2 contracts
Sources: Merger Agreement (Haywood Bancshares Inc), Merger Agreement (Century South Banks Inc)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on October 17, 2016. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part . The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. or General Instruction I.B.6. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, not misleading. Notwithstanding other than the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 2 contracts
Sources: Purchase Agreement (Kempharm, Inc), Purchase Agreement (Kempharm, Inc)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on February 3, 2021. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Purchase Shares thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities Purchase Shares has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part . The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Purchase Shares under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was filed and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Purchase Shares contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Purchase Shares to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date and as of effective date, meets the Closing Date, did not and will not include any untrue statement of a material fact or omit requirements set forth in Rule 415(a)(1)(x) pursuant to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act.
Appears in 2 contracts
Sources: Purchase Agreement (Sunhydrogen, Inc.), Purchase Agreement (Sunhydrogen, Inc.)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on July 21, 2020. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form F-3 pursuant to the Securities Act for the offering and sale of the securities contemplated by this Agreement in reliance on General Instruction I.B.5. of Form F-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Common Stock to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form F-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the Closing Datedate of this Agreement the Company is not, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Common Stock, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 2 contracts
Sources: Common Stock Purchase Agreement (MMTec, Inc.), Common Stock Purchase Agreement (MMTec, Inc.)
Registration Statement. JOINT PROXY STATEMENT. The information to be supplied by RCSB for inclusion in the Registration Statement will not, at the time the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under declared effective and at the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orEffective Time, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectusinformation to be supplied by RCSB for inclusion in the Joint Proxy Statement will not, as of its on the date and as of the Closing DateJoint Proxy Statement (or any amendment thereof or supplement thereto) is first mailed to the stockholders of COFI or RCSB, did not or at the time of their respective meetings of stockholders to vote on this Agreement and will not include the Company Merger, and at the Effective Time, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements thereinthat, in light of the circumstances under which they were it is made, is false or misleading with respect to any material fact, omits to state any material fact necessary in order to make the statements made therein not false or misleading, or omits to state any material fact necessary to correct any statement in any earlier communication with respect to the solicitation of proxies for such meetings of stockholders that has become false or misleading. If at any time prior to the Effective Time, any event relating to RCSB or any of its affiliates, officers or directors is discovered by RCSB that should be set forth in an amendment to the Registration Statement or a supplement to the Joint Proxy Statement, RCSB will promptly inform COFI, and such amendment or supplement will be promptly filed with the SEC and, as required by law, disseminated to the stockholders of RCSB. Notwithstanding the foregoing, the Company does not make any RCSB makes no representation or warranty with respect to Underwriter Informationany information supplied by COFI that is contained in the Registration Statement or the Joint Proxy Statement. The Joint Proxy Statement will (with respect to RCSB) comply in all material respects as to form and substance with the requirements of the Exchange Act and the rules and regulations thereunder.
Appears in 2 contracts
Sources: Merger Agreement (RCSB Financial Inc), Agreement and Plan of Merger and Reorganization (Charter One Financial Inc)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under in conformity with the requirements of the Securities Act) that has , which became effective on June 13, 2023, including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form S-3. The Company is eligible to use Form S-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering and during the twelve (12) months prior to this offering, as set forth in General Instruction I.B.1 of Form S-3.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Cyngn Inc.), Securities Purchase Agreement (Cyngn Inc.)
Registration Statement. (a) The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending Company will maintain the effectiveness of the Registration Statement until the earlier to occur of (i) the date that is five and a half years from the Closing Date, and (ii) the date on which no Warrants are outstanding.
(b) While any Warrants are outstanding, the Company will:
(i) use commercially reasonable efforts to register or any part thereof has been issued by qualify the SEC and no proceeding for that purpose Warrant Shares under the securities or pursuant to Section 8A "blue sky" laws of the Securities Act against State of New York and such other jurisdictions within the United States as shall be reasonably requested from time to time by a Purchaser, and do any and all other acts or things which may be necessary or advisable to enable such Purchaser to consummate the public sale or other disposition of the Warrant Shares in such jurisdictions; provided that the Company shall not be required in connection therewith or related as a condition thereto to the offering qualify to do business or to file a general consent to service of process in any such jurisdiction;
(ii) notify each Purchaser immediately after becoming aware of the Securities has been initiated occurrence of any event (but shall not, without the prior written consent of such Purchaser, disclose to such Purchaser any facts or is pending or, to circumstances constituting material non-public information) as a result of which the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to prospectus included in the Registration Statement has been complied with. As of its applicable effective dateStatement, the Registration Statement conformed as then in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any effect, contains an untrue statement of a material fact or omit omits to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed misleading in all material respects to the requirements light of the Securities Act, the Trust Indenture Actcircumstances then existing, and neither as promptly as practicable prepare and file with the Registration Statement (Commission and furnish to each Purchaser a reasonable number of copies of a supplement or an amendment to such prospectus as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any may be necessary so that such prospectus does not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, therein not misleading in light of the circumstances then existing;
(iii) use commercially reasonable efforts to prevent the issuance of any stop order or other order suspending the effectiveness of the Registration Statement and, if such an order is issued, to obtain the withdrawal thereof at the earliest possible time and to notify each Purchaser of the issuance of such order and the resolution thereof;
(iv) permit counsel for each Purchaser to review the Registration Statement and all amendments and supplements thereto, and any comments made by the staff of the Commission with respect thereto, and the Company's responses thereto, within a reasonable period of time prior to the filing thereof with the Commission (or, in the case of comments made by the staff of the Commission, within a reasonable period of time following the receipt thereof by the Company), but only to the extent that such comments concern such Purchaser and/or the transactions contemplated by the Transaction Documents; and
(v) in the event that, at any time, the number of shares available under which they were madethe Registration Statement is insufficient to cover all of the Warrant Shares issuable under the Warrants (without regard to any restriction on the exercise thereof) the Company shall promptly amend the Registration Statement or file a new registration statement, in any event as soon as practicable, but not misleadinglater than the tenth (10th) day following notice from a Purchaser of the occurrence of such event, so that the Registration Statement or such new registration statement, or both, covers no less than one hundred percent (100%) of the Warrant Shares issuable under the Warrants (without regard to any restriction on the exercise of such Warrants). The Prospectus, Company shall use its best efforts to cause such amendment and/or new Registration Statement to become effective as of its date and soon as of practicable following the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Informationfiling thereof.
Appears in 2 contracts
Sources: Securities Purchase Agreement (Emagin Corp), Securities Purchase Agreement (Emagin Corp)
Registration Statement. The Company and Tyco meet the requirements for use of the Form S-3 under the Securities Act in respect of the registration of the Securities and the Guarantees; the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 has been declared effective by the Commission under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending instituted or, to the knowledge of the CompanyCompany or Tyco, is contemplated or threatened by the SEC, Commission and any request on the part of the SEC Commission for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, ; and the Registration Statement conformed and Prospectus (as amended or supplemented if the Company and Tyco shall have furnished any amendments or supplements thereto) comply, or will comply, as the case may be, in all material respects to the requirements of with the Securities Act and the Trust Indenture Act of 1939, as amended, and did the rules and regulations of the Commission thereunder (collectively, the "Trust Indenture Act"), and do not include and will not, as of the applicable effective date of the Registration Statement and any amendment thereto and as of the date of the Prospectus and any amendment or supplement thereto, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein (in the case of the Prospectus and any amendment or supplement thereto, in the light of the circumstances under which they were made) not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities ActProspectus, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by at the Pricing Prospectus) nor the Time of Sale Disclosure Package included Closing Date, if applicable, will not contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The ; provided, however, that the foregoing representations and warranties shall not apply to (i) that part of the Registration Statement which constitutes the Statement of Eligibility and Qualification (Form T-1) under the Trust Indenture Act of the Trustee, and (ii) statements or omissions in the Registration Statement or the Prospectus made in reliance upon and in conformity with information relating to any Underwriter furnished to the Company or Tyco by such Underwriter through the Representatives expressly for use therein; each Prospectus, as of its date and as including any amendment or supplement thereto, delivered to the Underwriters for use in connection with the offering contemplated hereby were identical to the electronically transmitted copies thereof filed with the Commission pursuant to ▇▇▇▇▇, except to the extent permitted by Regulation S-T of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act.
Appears in 2 contracts
Sources: Underwriting Agreement (Tyco International LTD /Ber/), Underwriting Agreement (Tyco International LTD /Ber/)
Registration Statement. The To the extent the Company decides to proceed with the Placement, the Company will, as soon as practicable, prepare and file with the Securities and Exchange Commission (the “Commission”) a Registration Statement is an on Form F-1 (the “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2Statement”) under the Securities Act has been received of 1933, as amended (the “Securities Act”) and a prospectus included therein (the “Prospectus”) covering the Securities to be offered and sold in the Placement. The Registration Statement (including the Prospectus therein), and all amendments and supplements thereto, will be in form reasonably satisfactory to Aegis and counsel to Aegis. Other than any information provided by the Company; and no order suspending the effectiveness of Aegis in writing specifically for inclusion in the Registration Statement or the Prospectus, the Company will be solely responsible for the contents of its Registration Statement and Prospectus and any part thereof has been issued and all other written or oral communications provided by the SEC and no proceeding for that purpose or pursuant to Section 8A on behalf of the Securities Act against Company to any actual or prospective investor of the Securities, and the Company or related to the offering represents and warrants that such materials and such other communications will not, as of the Securities has been initiated or is pending or, to the knowledge date of the Company, is contemplated offer or threatened by the SEC, and any request on the part sale of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateSecurities, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as If at any time prior to the completion of the Closing Date, did not offer and will not include any sale of the Securities an event occurs that would cause the Registration Statement or Prospectus (as supplemented or amended) to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation will notify Aegis immediately of such event and Aegis will suspend solicitations of the prospective purchasers of the Securities until such time as the Company shall prepare a supplement or warranty with respect amendment to Underwriter Informationthe Registration Statement or Prospectus that corrects such statement or omission.
Appears in 2 contracts
Sources: Placement Agent Agreement (NewGenIvf Group LTD), Placement Agent Agreement (NewGenIvf Group LTD)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Acta) that has been Trustmark shall cooperate in preparing and promptly cause to be filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received and any other applicable documents, the approval of the Merger and registering the shares of Trustmark Common Stock to be delivered to the shareholders of Cadence pursuant to this Agreement. Trustmark will use its best efforts to cause the Registration Statement to be declared effective as promptly as practicable after such filing. Trustmark shall also use its best efforts to obtain all necessary state securities or “Blue Sky” permits and approvals required to carry out the transactions contemplated by this Agreement.
(b) Cadence and its counsel shall participate in the Company; and no order suspending the effectiveness preparation of the Registration Statement or any part thereof has been issued by and shall have the SEC and no proceeding for that purpose or pursuant right to Section 8A approve the content of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orRegistration Statement (and all amendments and supplements thereto, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC requests for additional information pertaining and replies to comments) prior to filing.
(c) At the time the Registration Statement has been complied with. As of its applicable effective datebecomes effective, the Registration Statement conformed will comply in all material respects to with the requirements provisions of the Securities Act and the Trust Indenture Act published rules and did regulations thereunder, and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not false or misleading. At , and at the Applicable Timetime of mailing thereof to Cadence’s shareholders and at the time of the Cadence shareholders’ meeting held to approve the Merger, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements proxy statement included as part of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (the “Proxy Statement”), as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact amendment or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and supplement filed by Trustmark will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements thereintherein not false or misleading; provided, in light however, that none of the circumstances under which they were made, not misleading. Notwithstanding provisions of this subparagraph shall apply to statements in or omissions from the foregoing, Registration Statement or the Company does not make any representation Proxy Statement made in reliance upon and in conformity with information furnished by Cadence for use in the Registration Statement or warranty with respect to Underwriter Informationthe Proxy Statement.
Appears in 2 contracts
Sources: Agreement and Plan of Reorganization (Trustmark Corp), Agreement and Plan of Reorganization (Cadence Financial Corp)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 has been declared effective under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date ; no stop order of the Pricing Agreement; no notice of objection of the SEC to Commission preventing or suspending the use of such Registration Statement the Preliminary Prospectus or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending Prospectus or the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding proceedings for that such purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending or, to the knowledge of the Company, is contemplated instituted or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to Commission; the Registration Statement has been complied with. As when it became effective, complies and will comply, at the time of its applicable effective datepurchase, the Registration Statement conformed in all material respects to with the requirements of the Securities Act and the Trust Indenture Act Preliminary Prospectus complied, as of its date and at the time of purchase, in all material respects, with the requirements of the Securities Act; the conditions to the use of Form S-1 in connection with the offering and sale of the Shares as contemplated hereby have been satisfied; the Registration Statement did not include any not, as of the time such Registration Statement became effective, and at the time of purchase, contain an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At ; at all times during the Applicable Timeperiod beginning with the execution of this Agreement and ending at the time of purchase, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any does not and will not include an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The ; the Prospectus will comply, as of the date that it is filed with the Commission, the date of the Prospectus and, as amended or supplemented, at all times during the period beginning with the execution of this Agreement and ending on the Closing Date (as defined below) or any Subsequent Closing Date (as defined below), in all material respects, with the requirements of the Securities Act (including, without limitation, Section 10(a) of the Securities Act); the Prospectus, as of its the date and as that it is filed with the Commission, the date of the Closing DateProspectus and, as amended or supplemented, at the time of purchase did not and or will not include any an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing; provided, however, that the Company does not make any makes no representation or warranty with respect to Underwriter Informationany statement contained in or omitted from the Registration Statement, the Disclosure Package or the Prospectus in reliance upon and in conformity with information concerning the Underwriters and furnished in writing by or on behalf of the Underwriters to the Company expressly for use therein; provided, further, that if, at any time after the time of purchase, the Company is obligated to prepare and furnish to the Underwriters an amendment or supplement to the Prospectus under Section 3(A)(e) of this Agreement and so furnishes such amendment or supplement, then from and after the time that such Prospectus as amended or supplemented is furnished to the Underwriters in accordance with Section 3(A)(e), the term “Prospectus” shall be deemed to mean the Prospectus as so amended or supplemented. Each copy of the Preliminary Prospectus and the Prospectus, delivered to the Underwriters for use in connection with the offer and sale of the Shares was identical to the copies thereof filed by electronic transmission pursuant to E▇▇▇▇ (except as may be permitted by Regulation S-T under the Securities Act). There are no contracts or other documents required to be described in the Prospectus or to be filed as exhibits to the Registration Statement which have not been described or filed as required.
Appears in 2 contracts
Sources: Underwriting Agreement (Global Traffic Network, Inc.), Underwriting Agreement (Global Traffic Network, Inc.)
Registration Statement. The (a) Purchaser agrees to prepare, pursuant to all applicable laws, rules and regulations, a registration statement on Form S-4 (the “Registration Statement”) to be filed by Purchaser with the SEC in connection with the issuance of Purchaser Common Stock in the Parent Merger (including the proxy statement and prospectus and other proxy solicitation materials of Seller constituting a part thereof (the “Proxy/Prospectus”) and all related documents). Seller agrees to cooperate, and to cause its Subsidiaries to cooperate, with Purchaser, its counsel and its accountants, in preparation of the Registration Statement is an and the Proxy/Prospectus; and provided that Seller and its Subsidiaries have cooperated as required above, Purchaser agrees to file the Registration Statement, which will include the form of Proxy/Prospectus with the SEC as promptly as reasonably practicable but in no event later than 45 days after the date hereof. Each of Seller and Purchaser agrees to use all reasonable efforts to cause the Registration Statement to be declared effective under the Securities Act as promptly as reasonably practicable after filing thereof. Purchaser also agrees to use all reasonable efforts to obtain, prior to the effective date of the Registration Statement, all necessary state securities law or “automatic shelf registration statementBlue Sky” permits and approvals required to carry out the transactions contemplated by this Agreement. Seller agrees to furnish to Purchaser all information concerning Seller, its Subsidiaries, officers, directors and shareholders as may be reasonably requested in connection with the foregoing.
(b) Each of Seller and Purchaser agrees, as defined under Rule 405 to itself and its Subsidiaries, that none of the information supplied or to be supplied by it for inclusion or incorporation by reference in (i) the Registration Statement will, at the time the Registration Statement and each amendment or supplement thereto, if any, becomes effective under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At , and (ii) the Applicable TimeProxy/Prospectus and any amendment or supplement thereto will, at the Registration Statement and the Pricing Prospectus conformed in all material respects date of mailing to the requirements Seller shareholders and at the time of the Securities ActSeller Meeting, as the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were madecase may be, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, therein in light of the circumstances under which they were such statement is made, not false or misleading. Notwithstanding Each of Seller and Purchaser further agrees that if it shall become aware prior to the foregoing, Effective Date of any information furnished by it that would cause any of the Company does not make any representation statements in the Proxy/Prospectus to be false or warranty misleading with respect to Underwriter Informationany material fact, or to omit to state any material fact necessary to make the statements therein not false or misleading, to promptly inform the other party thereof and to take the necessary steps to correct the Proxy/Prospectus.
(c) Purchaser agrees to advise Seller, promptly after Purchaser receives notice thereof, of the time when the Registration Statement has become effective or any supplement or amendment has been filed, of the issuance of any stop order or the suspension of the qualification of Purchaser Common Stock for offering or sale in any jurisdiction, of the initiation or threat of any proceeding for any such purpose, or of any request by the SEC for the amendment or supplement of the Registration Statement or for additional information.
Appears in 1 contract
Sources: Merger Agreement (S&t Bancorp Inc)
Registration Statement. The (a) Planet agrees to prepare a registration statement on Form SB-2 or other applicable form (the "Registration Statement") to be filed by Planet with the SEC in connection with the issuance of Planet Common Stock in the Merger. ACP shall prepare and furnish such information relating to it and its directors, officers and shareholders as may be reasonably required in connection with the above-referenced documents based on its knowledge of and access to the information required for said documents. ACP agrees to cooperate with Planet and Planet's counsel and accountants in requesting and obtaining appropriate opinions, consents and letters from its financial advisor, if any, and independent auditor in connection with the Registration Statement is an “automatic shelf registration statement” and the Proxy Statement. Provided that ACP has cooperated as described above, Planet agrees to file, or cause to be filed, the Registration Statement no later than 60 days after the Effective Date. Each of ACP and Planet agrees to use all reasonable efforts to cause the Registration Statement to be declared effective under the Securities Act as promptly as reasonably practicable after filing thereof. Planet also agrees to use all reasonable efforts to obtain all necessary state securities law or "Blue Sky" permits and approvals required to carry out the transactions contemplated by this Agreement.
(as defined under Rule 405 b) Each of ACP and Planet agrees that none of the information supplied or to be supplied by it for inclusion or incorporation by reference in the Registration Statement and/or Proxy Statement shall, at the time the Registration Statement and each amendment or supplement thereto, if any, becomes effective under the Securities Act) that has been filed with , contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the SEC statements therein not earlier than three years prior to misleading and the Proxy Statement and any amendment or supplement thereto shall not, at the date of the Pricing Agreement; no notice of objection of the SEC mailing to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orshareholders, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At Each of ACP and Planet further agrees that if such party shall become aware prior to the Applicable Time, Effective Date of any information furnished by such party that would cause any of the statements in the Registration Statement and or the Pricing Prospectus conformed in all material respects Proxy Statement to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended be false or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted misleading with respect to state any material fact required fact, or to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements thereintherein not false or misleading, in light to promptly inform the other parties thereof and to take the necessary steps to correct the Registration Statement or the Proxy Statement.
(c) Planet agrees to advise ACP, promptly after Planet receives notice thereof, of the circumstances under which they were madetime when the Registration Statement has become effective or any supplement or amendment has been filed, not misleading. Notwithstanding of the foregoingissuance of any stop order or the suspension of the qualification of Planet Common Stock for offering or sale in any jurisdiction, of the Company does not make initiation or, to the extent Planet is aware thereof, threat of any representation proceeding for any such purpose, or warranty with respect to Underwriter Informationof any request by the SEC for the amendment or supplement of the Registration Statement or for additional information.
Appears in 1 contract
Registration Statement. The (a) Acquired Corporation shall furnish all information to Buyer with respect to any Acquired Corporation Company including financial statements of Acquired Corporation as Buyer may reasonably request for inclusion in the Registration Statement, the Buyer Proxy Statement and the Buyer's application for listing on NASDAQ of Buyer's Common Stock to be registered by the Registration Statement, and such information and financial statements shall satisfy the requirements of SEC Form S-4 and SEC Regulation S-X under the 1933 Act, as applicable.
(b) None of the information supplied or to be supplied by Acquired Corporation for inclusion in the Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been to be filed by Buyer with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of will, when the Registration Statement becomes effective, be false or misleading with respect to any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending ormaterial fact, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At None of the Applicable Timeinformation supplied by Acquired Corporation or to be supplied to Buyer's or Acquired Corporation's stockholders in the proxy statement/prospectus used in connection with the Stockholders' Meetings, and any other documents to be filed by Acquired Corporation with the Registration Statement SEC, or any other Agency in connection with the transactions contemplated hereby will, at the respective time such documents are filed and the Pricing Prospectus conformed in all material respects with respect to the requirements Acquired Corporation Proxy Statement, when first mailed to the stockholders of the Securities Act, the Trust Indenture ActAcquired Corporation, and neither with respect to the Registration Buyer Proxy Statement (as amended when first mailed to the stockholders of Buyer, be false or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included misleading with respect to any untrue statement of a material fact fact, or omitted omit to state any material fact required to be stated therein or necessary to make the statements therein, not misleading, or in light the case of the circumstances under which they were madeAcquired Corporation Proxy Statement or any amendment thereof or supplement thereto, not misleading. The Prospectus, as of its date and as at the time of the Closing DateAcquired Corporation Stockholders' Meetings, did not and will not include in the case of the Buyer Proxy Statement or any untrue statement amendment thereof or supplement thereto, at the time of a the Buyer Stockholders' Meeting, be false or misleading with respect to any material fact fact, or omit to state any material fact required to be stated therein or necessary to make the statements therein, correct any statement in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty earlier communication with respect to Underwriter Informationthe solicitation of proxies for the respective Stockholders' Meetings.
Appears in 1 contract
Sources: Merger Agreement (Banc Corp)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on July 28, 2023. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The “Plan of Distribution” section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor in accordance with this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on December 1, 2020. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) to the Company’s knowledge issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the Closing Datedate of this Agreement the Company is not, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Securities, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on April 18, 2016. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.6. of Form S-3 and the Staff Interpretations, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that, for so long as the Company is subject to General Instruction I.B.6 of Form S-3 and the Staff Interpretations, the Company shall not issue any shares of Common Stock pursuant to this Agreement if such issuance would reasonably be expected to result in noncompliance with General Instruction I.B.6 of Form S-3 and the Staff Interpretations. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been was originally filed with the SEC not earlier than three years prior to Commission on [_____], 2023 and the date required filing fee was paid at the time of the Pricing Agreement; no notice of objection of the SEC to the use of such filing. The Registration Statement or any post-was declared effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no on [_____], 2023. No stop order suspending the effectiveness of the Registration Statement or any part thereof post-effective amendment thereto has been issued by the SEC Commission under the Securities Act and no proceeding proceedings for that purpose have been instituted or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is are pending or, to the knowledge of the Company’s knowledge, is contemplated or threatened by the SEC, Commission. The Company and any the Guarantors have complied with each request on (if any) from the part of the SEC Commission for additional information pertaining with respect to the Registration Statement has been complied withStatement. As Each of its applicable effective date, the Registration Statement conformed and any post-effective amendment thereto, at the time it became effective, at the Time of Sale and as of any Closing Date, complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act of 1939, as amended (the “Trust Indenture Act”), and did not include the related rules and regulations of the Commission. Neither the Registration Statement nor any post-effective amendment thereto, when considered together with the Registration Statement, at its effective time, at the Time of Sale or as of any Closing Date, contained, contains or will contain an untrue statement of a material fact or omitted, omits or will omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At ; provided that the Applicable Time, the Registration Statement Company and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to Guarantors make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any no representation or warranty with respect to (i) that part of the Registration Statement that constitutes the Statement of Eligibility on Form T-1 of the Trustee under the Trust Indenture Act or (ii) any statements or omissions made in the Registration Statement or any post-effective amendment thereto in reliance upon and in conformity with information relating to any Underwriter Informationfurnished to the Company in writing by such Underwriter through the Representatives expressly for use in the Registration Statement or any post-effective amendment thereto (it being agreed that the only such information furnished by any Underwriter consists of the information set forth in Section 7(b) hereof). The copies of the Registration Statement and each amendment thereto furnished to the Underwriters will be identical to the electronically transmitted copies thereof filed with the Commission pursuant to ▇▇▇▇▇, except to the extent permitted by Regulation S T of the Commission (“Regulation S-T”).
Appears in 1 contract
Sources: Underwriting Agreement (Fidelity & Guaranty Life Holdings, Inc.)
Registration Statement. The BancSecurity will promptly furnish or cause to be furnished to Buyer all of the information concerning BancSecurity and the Banks required for inclusion in, and will cooperate with Buyer in the preparation of, the Registration Statement is an “automatic shelf registration statement” and Proxy Statement (as defined under Rule 405 under including audited financial statements, prepared in accordance with generally accepted accounting principles, in form suitable for inclusion in the Securities Act) that has been filed Registration Statement and Proxy Statement), or any statement or application made by Buyer to any governmental body in connection with the SEC not earlier than three years Merger. BancSecurity agrees promptly to advise Buyer if at any time prior to the date Effective Date of the Pricing Agreement; no notice Merger, any information provided by or on behalf of objection BancSecurity becomes incorrect or incomplete in any material respect and to provide the information needed to correct such inaccuracy or omission. At the time of mailing thereof to BancSecurity shareholders, at the time of BancSecurity shareholders's meeting referred to in Section 4.1 (b) hereof and at the Effective Time of the SEC to Merger, the use of such Registration Proxy Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness included as part of the Registration Statement or any part amendment thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orsupplement thereto, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements contained therein, in light of the circumstances under which they were are made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include any untrue statement of a material fact misleading or omit to state any a material fact required to be stated therein or necessary to make the statements therein, correct any statement in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty earlier communication with respect to Underwriter Informationthe solicitation of any proxy for BancSecurity shareholders' meeting; provided, however, that none of the provisions of this subparagraph shall apply to statements in or omissions from the Registration Statement or the Proxy Statement made in reliance upon and in conformity with information furnished by Buyer for use in the Registration Statement or the Proxy Statement.
Appears in 1 contract
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on August 1, 2011. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.6. of Form S-3 and the Staff Interpretations, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that, for so long as the Company is subject to General Instruction I.B.6. of Form S-3 and the Staff Interpretations, the Company shall not issue any shares of Common Stock pursuant to this Agreement if such issuance would reasonably be expected to result in non-compliance with General Instruction I.B.6. of Form S-3 and the Staff Interpretations. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf (a) Within sixty (60) days after the Closing Date, the Purchaser shall use its reasonable best efforts to file with the SEC a registration statement” statement on Form S-3 (the "REGISTRATION STATEMENT") with respect to the shares of Purchaser Common Stock received in the Acquisition by each Participating Holder (as defined under Rule 405 under in Section 10.1(c)), including the Securities Act) Escrow Shares. The Purchaser undertakes that has been filed it will file such Registration Statement with the SEC not earlier later than three years prior ninety (90) days following the Closing Date. The Purchaser shall use its best efforts (i) to cause the date of the Pricing Agreement; no notice of objection of Registration Statement to be declared effective by the SEC as soon thereafter and (ii) to the use of keep such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under until the Securities Act has been received completion of the sale of the Purchaser Common Stock by the Company; Selling Shareholders.
(b) The Purchaser shall (at its own expense):
(i) prepare and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by file with the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining such amendments to the Registration Statement has been complied with. As and such supplements to the prospectus as may be required in order to comply with the applicable provisions of its applicable effective date, the Registration Statement conformed in all material respects Securities Act;
(ii) furnish to each Participating Holder such numbers of copies of a prospectus conforming to the requirements of the Securities Act as it may reasonably request in order to facilitate the disposition of the shares covered by the Registration Statement;
(iii) use its reasonable best efforts to register and qualify the Trust Indenture shares covered by the Registration Statement under the securities laws of such states as the Participating Holders may reasonably request, provided, however, that the Purchaser shall not be required in connection therewith or as a condition thereto to qualify to do business or to file a general consent to service of process in any of such states; and
(iv) notify each Participating Holder at any time when a prospectus relating to the Registration Statement is required to be delivered under the Securities Act and did not include as a result of the occurrence of any event which results in the prospectus included in the Registration Statement, as then in effect, to contain an untrue statement of a material fact or to omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, misleading in light of the circumstances under which they were made.
(c) Notwithstanding anything to the contrary contained herein, not misleadingno Person who receives Purchaser Common Stock in the Acquisition shall have any rights under this Section 10 unless such Person executes a written agreement satisfactory in form and content to the Purchaser confirming that such Person wishes to be allowed to sell Purchaser Common Stock pursuant to the Registration Statement and agrees to be bound by the provisions of this Section 10. The Prospectus(A Person who receives Purchaser Common Stock in the Acquisition and who executes and delivers such an agreement is referred to in this Section 10 as a "PARTICIPATING HOLDER.")
(d) Notwithstanding anything to the contrary contained herein, as all of the Purchaser's obligations under this Section 10.1 (including its date obligation to file the Registration Statement) shall terminate and expire as of the Closing Date, did not and will not include earliest date on which any untrue statement shares of a material fact or omit Purchaser Common Stock issued in the Acquisition can be sold pursuant to state any material fact required to be stated therein or necessary to make Rule 144 under the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act.
Appears in 1 contract
Registration Statement. The (a) As promptly as practicable after the date of this Agreement (and in any event within the later of (i) sixty (60) days after the date of this Agreement; provided that as of such date the Company financials required to be included in the Registration Statement is an “automatic shelf registration statement” have been completed and approved by the Company’s auditors or (as defined under Rule 405 under ii) fifteen (15) days from the Securities Act) that has date on which the Company financials required to be included in the Registration Statement have been completed and approved by the Company’s auditors), the Parties shall prepare, and Parent shall cause to be filed with the SEC not earlier than three years prior SEC, a registration statement on Form S-4 to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) register under the Securities Act has been received by the Company; offer and no order suspending sale of the effectiveness of Merger Shares pursuant to the Merger, which shall include a prospectus and a proxy statement relating to the Parent Stockholder Approval and the Company Stockholder Approval (as amended from time to time, the “Registration Statement”). Parent covenants and agrees that the Registration Statement will not, at the time that the Registration Statement or any part thereof has been issued by amendments or supplements thereto is filed with the SEC and no proceeding for that purpose or pursuant first mailed to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include Parent Stockholders contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements made therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date Company covenants and as of agrees that the Closing Date, did not and information provided by the Company to Parent for inclusion in the Registration Statement (including the Company Financial Statements) will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, such information not misleading. Notwithstanding the foregoing, the Company does not make any Parent makes no covenant, representation or warranty with respect to Underwriter Informationstatements made in the Registration Statement, if any, based on information provided by the Company or any of its Representatives specifically for inclusion therein and the Company makes no covenant, representation or warranty with respect to statements made in the Registration Statement, if any, other than with respect to the information provided by the Company or any of its Representatives for inclusion therein. The Company and its legal counsel shall be given reasonable opportunity to review and comment on the Registration Statement, including all amendments and supplements thereto, prior to the filing thereof with the SEC, and on the response to any comments of the SEC on the Registration Statement, prior to the filing thereof with the SEC. Parent shall use reasonable efforts to cause the Registration Statement to comply with the applicable rules and regulations promulgated by the SEC, to respond promptly to any comments of the SEC or its staff and to have the Registration Statement declared effective under the Securities Act as promptly as practicable after it is filed with the SEC. Each Party shall promptly furnish to the other Party all information concerning such Party and such Party’s Affiliates and such Party’s stockholders that may be required or reasonably requested in connection with any action contemplated by this Section 5.1 (Registration Statement). If Parent or the Company become aware of any event or information that, pursuant to the Securities Act or the Exchange Act, should be disclosed in an amendment or supplement to the Registration Statement, then such Party, as the case may be, shall promptly inform the other Parties thereof and shall cooperate with such other Parties in filing such amendment or supplement with the SEC and, if appropriate, in mailing such amendment or supplement to Parent’s stockholders. No filing of, or amendment or supplement to, the Registration Statement will be made by Parent, without the prior written consent of the Company, which shall not be unreasonably withheld, conditioned or delayed. The Company and Parent shall each use commercially reasonable efforts to cause the Registration Statement to comply with applicable federal and state securities Laws requirements and the rules and regulations of the NYSE.
(b) The Parties shall reasonably cooperate with each other and provide, and shall use reasonable best efforts to cause their respective Representatives to provide, the other Party and its Representatives, with all true, correct and complete information regarding such Party that is required by Law to be included in the Registration Statement or reasonably requested by the other Party to be included in the Registration Statement. If at any time before the Effective Time the information provided in the Registration Statement has or will become “stale” and new information should, as determined by Parent acting reasonably, be disclosed in an amendment or supplement to the Registration Statement, then Parent shall promptly inform the Company thereof and each such Party shall cooperate with one another, and shall use reasonable best efforts to cause their accounting and other outside professionals to so cooperate, (x) in providing the financial reporting necessary for such filing and (y) in filing such amendment or supplement with the SEC (and, if related to the proxy statement, mailing such amendment or supplement to the Parent stockholders).
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on July 8, 2020. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Purchase Shares thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities Purchase Shares has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part . The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Purchase Shares under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was filed and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Purchase Shares contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Purchase Shares to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date and as of effective date, meets the Closing Date, did not and will not include any untrue statement of a material fact or omit requirements set forth in Rule 415(a)(1)(x) pursuant to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on February 11, 2019. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part . The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, not misleading. Notwithstanding other than the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Sources: Purchase Agreement (HTG Molecular Diagnostics, Inc)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on October 12, 2017. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Securities, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Sources: Purchase Agreement (Actinium Pharmaceuticals, Inc.)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on September 30, 2024. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against under the Company or related terms of this Agreement. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the Closing Datedate of this Agreement the Company is not, did an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and will sale of any of the Securities, and, until the Investor does not include hold any untrue statement of a the Securities, shall not distribute any offering material fact in connection with the offering and sale of any of the Securities, to or omit to state any material fact required to be stated therein or necessary to make by the statements thereinInvestor, in light of each case, other than the circumstances under which they were made, not misleading. Notwithstanding the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Sources: Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (As soon as defined under Rule 405 under practicable after the Securities Act) that has been filed execution of this Agreement, Prosperity will prepare and file with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such a Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) on Form S-4 under the Securities Act has been received by (the “Registration Statement”) and any other applicable documents, relating to the shares of Prosperity Common Stock to be delivered to the shareholders of the Company pursuant to this Agreement, and will use its best efforts to cause the Registration Statement to become effective. The Company and its counsel shall be given the opportunity to participate in the preparation of the Registration Statement and shall have the right to approve the content of the Registration Statement with respect to the Company and the meeting of the Company; and no order suspending the effectiveness of ’s shareholders. Prosperity shall not include in the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of amendment thereto any information concerning the Company, is contemplated the Bank or threatened by this Agreement to which the SEC, Company shall reasonably and timely object in writing (and the parties shall negotiate in good faith any request on such comments or objections). At the part of the SEC for additional information pertaining to time the Registration Statement has been complied with. As of its applicable effective datebecomes effective, the Registration Statement conformed will comply in all material respects to with the requirements provisions of the Securities Act and the Trust Indenture Act published rules and did regulations thereunder, and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not false or misleading. At , and at the Applicable Timetime of mailing thereof to the Company’s shareholders, at the time of the Company Shareholders’ Meeting held to approve the Merger, and at the Effective Time of the Merger, the prospectus included as part of the Registration Statement and any amendment thereto (the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing “Prospectus”) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances circumstanced under which they were made, not false or misleading. Notwithstanding ; provided, however, that none of the foregoing, provisions of this subparagraph shall apply to statements in or omissions from the Registration Statement or the Prospectus made in reliance upon and in conformity with information furnished by the Company does not make any representation for use in the Registration Statement or warranty with respect to Underwriter Informationthe Prospectus.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on November 9, 2017. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The “Plan of Distribution” section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. or General Instruction I.B.6, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Sources: Purchase Agreement (Histogen Inc.)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under with respect to the Shares in conformity with the requirements of the Securities Act) that has , which became effective on August 25, 2023, including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form S-3. The Company is eligible to use Form S-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering and during the twelve (12) months prior to this offering, as set forth in General Instruction I.B.6 of Form S-3.
Appears in 1 contract
Sources: Stock Purchase Agreement (Dyadic International Inc)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on December 1, 2010. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The Prospectus, as of its date and as Company meets all of the Closing Date, did not and will not include any untrue statement requirements for the use of a material fact or omit registration statement on Form S-3 pursuant to state any material fact required to be stated therein or necessary to make the statements therein, in light Securities Act for the offering and sale of the circumstances under which they were madeSecurities contemplated by this Agreement, including, to the extent applicable to the transactions contemplated by this Agreement, those set forth in General Instruction I.B.6. of Form S-3, and the SEC has not misleadingnotified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. Notwithstanding The Company hereby confirms that, for so long as the foregoingCompany is subject to General Instruction I.B.6. of Form S-3, the Company does shall not make issue any representation or warranty shares of Common Stock pursuant to this Agreement if such issuance would reasonably be expected to result in non-compliance with respect to Underwriter InformationGeneral Instruction I.B.6.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on May 9, 2017. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC U.S. Securities and Exchange Commission (the “Commission”), and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part Commission. The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, not misleading. Notwithstanding other than the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Sources: Purchase Agreement (Conformis Inc)
Registration Statement. The Registration Statement complied when it became effective, complies as of the date hereof and, as amended or supplemented, at the time of purchase, each additional time of purchase, if any, and at all times during which a prospectus is an “automatic shelf registration statement” required by the Act to be delivered (as defined under whether physically or through compliance with Rule 405 172 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement Act or any post-effective amendment thereto pursuant to Rule 401(g)(2similar rule) under the Securities Act has been received by the Company; and no order suspending the effectiveness in connection with any sale of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending orUnits, to the knowledge of the Companywill comply, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to respects, with the requirements of the Securities Act and Act; the Trust Indenture Act and Registration Statement did not include any not, as of the Effective Time, contain an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At ; each Preliminary Prospectus complied, at the Applicable Timetime it was filed with the Commission, and complies as of the Registration Statement and the Pricing Prospectus conformed date hereof, in all material respects to with the requirements of the Securities Act; at no time during the period that begins on the earlier of the date of such Preliminary Prospectus and the date such Preliminary Prospectus was filed with the Commission and ends at the time of purchase did or will any Preliminary Prospectus, the Trust Indenture Act, and neither the Registration Statement (as then amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any supplemented, include an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The , and at no time during such period did or will any Preliminary Prospectus, as then amended or supplemented, together with any combination of its date and as one or more of the Closing Datethen-issued Permitted Free Writing Prospectuses, did not and will not if any, include any an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding ; the foregoingProspectus will comply, as of its date, the Company does date that it is filed with the Commission, the time of purchase, each additional time of purchase, if any, and at all times during which a prospectus is required by the Act to be delivered (whether physically or through compliance with Rule 172 under the Act or any similar rule) in connection with any sale of Units, in all material respects, with the requirements of the Act (including, without limitation, Section 10(a) of the Act); at no time during the period that begins on the earlier of the date of the Prospectus and the date the Prospectus is filed with the Commission and ends at the later of the time of purchase, the latest additional time of purchase, if any, and the end of the period during which a prospectus is required by the Act to be delivered (whether physically or through compliance with Rule 172 under the Act or any similar rule) in connection with any sale of Units did or will the Prospectus, as then amended or supplemented, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; at no time during the period that begins on the date of such Permitted Free Writing Prospectus and ends at the time of purchase did or will any Permitted Free Writing Prospectus include an untrue statement of a material fact or omit to state a material fact necessary in order to make any the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that the Partnership makes no representation or warranty with respect to any statement contained in the Registration Statement, any Preliminary Prospectus, the Prospectus or any Permitted Free Writing Prospectus in reliance upon and in conformity with information furnished in writing by or on behalf of an Underwriter Informationthrough you to the Partnership expressly for use in the Registration Statement, such Preliminary Prospectus, the Prospectus or such Permitted Free Writing Prospectus.
Appears in 1 contract
Sources: Underwriting Agreement (Regency Energy Partners LP)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (a) For the purposes of registering for resale 30% of the Insituform Shares (including any shares of Insituform Common Stock issued as defined under Rule 405 a dividend or other distribution with respect to, or in exchange for, or in replacement of such Insituform Shares) (the "Registrable Securities") with the SEC under the Securities Act, and complying with applicable state securities Laws, Insituform, the Company and the ▇▇▇▇▇▇/Tracks Shareholders will cooperate in the preparation of a registration statement on Form S-3 (such registration statement, together with any and all amendments and supplements thereto, being herein referred to as the "Registration Statement"), including a prospectus satisfying all requirements of applicable state securities Laws and the Securities Act. Such prospectus, together with any and all amendments or supplements thereto, is herein referred to as the "Prospectus."
(b) The Company will furnish Insituform with such information concerning the Company as is necessary in order to cause the Prospectus, insofar as it relates to the Company, to comply with applicable Law. None of the information relating to the Company supplied by the Company for inclusion in the Prospectus will be false or misleading with respect to any material fact or will omit to state any material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they are made, not misleading. The Company agrees promptly to advise Insituform if, at any time prior to the filing of the Registration Statement, any information provided by it in the Prospectus is or becomes incorrect or incomplete in any material respect and to provide Insituform with the information needed to correct such inaccuracy or omission. The Company will furnish Insituform with such supplemental information as may be necessary in order to cause the Prospectus, insofar as it relates to the Company, to comply with applicable Law.
(c) All expenses incurred in connection with the registration under this Section (including all registration, filing, qualification, legal, printing and accounting fees, but excluding underwriting commissions and discounts, if any), shall be borne by Insituform. In connection with registration under this Section, Insituform will, consistent with the rules, regulations, interpretive releases and positions of the SEC:
(i) Prepare and file within five (5) business days of the Closing Date with the SEC the Registration Statement and use its best efforts to cause the Registration Statement to become and remain effective. Insituform shall be obligated to effect only one Registration Statement for all ▇▇▇▇▇▇/Tracks Shareholders; provided, however, that Insituform shall not be deemed to have satisfied its obligation under this Section unless and until a Registration Statement covering all of the Registrable Securities has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-and become effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act and has been received remained current and effective until the holders of the Registrable Securities may sell the Registrable Securities pursuant to Rule 144(k) (or such shorter period as is required to complete the distribution and sale of all shares registered thereunder).
(ii) Prepare and file with the SEC such amendments (including post-effective amendments) and supplements to the Registration Statement and the Prospectus used in connection therewith as may be necessary to keep the Registration Statement effective for a period as may be requested by the Company▇▇▇▇▇▇/Tracks Shareholder Representative until the holders of the Registrable Securities may sell the Registrable Securities pursuant to Rule 144(k) (or such shorter period as is required to complete the distributions and sale of all shares registered thereunder) and to comply with the provisions of the Securities Act with respect to the disposition of all securities covered by the Registration Statement during such period in accordance with the intended methods of disposition thereof set forth in the Registration Statement; and no order suspending provided, that before filing a Registration Statement or Prospectus relating to the effectiveness sale of Registrable Securities, or any amendments or supplements thereto, Insituform will furnish to counsel to holders of Registrable Securities covered by the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant Prospectus, copies of all documents proposed to Section 8A of the Securities Act against the Company or related be filed, which documents will be subject to the offering review of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SECsuch counsel, and Insituform will give reasonable consideration in good faith to any request on the part comments of the SEC for additional information pertaining such counsel.
(iii) Furnish to each holder of Registrable Securities covered by the Registration Statement has been complied with. As such number of its applicable effective date, the Registration Statement conformed copies of a preliminary prospectus and Prospectus for delivery in all material respects to conformity with the requirements of the Securities Act, and such other documents, as such Person may reasonably request, in order to facilitate the public sale or other disposition of the Registrable Securities.
(iv) Use its best efforts to register or qualify the Registrable Securities covered by the Registration Statement under such other securities or blue sky Laws of such jurisdictions as each ▇▇▇▇▇▇/Tracks Shareholder shall reasonably request, and do any and all other acts and things which may be reasonably necessary or advisable to enable such ▇▇▇▇▇▇/Tracks Shareholder to consummate the disposition of the Registrable Securities owned by such ▇▇▇▇▇▇/Tracks Shareholder, in such jurisdictions, except that Insituform shall not for any such purpose be required (x) to qualify to do business as a foreign corporation in any jurisdiction where, but for the requirements of this Subsection, it is not then so qualified, or (y) to subject itself to taxation in any such jurisdiction, or (z) to take any action which would subject it to general or unlimited service of process in any such jurisdiction where it is not then so subject.
(v) Use its best efforts to cause the Registrable Securities covered by the Registration Statement to be registered with and approved by such other Governmental Authorities as may be necessary to enable the ▇▇▇▇▇▇/Tracks Shareholders to consummate the disposition of such Registrable Securities.
(vi) Immediately notify each ▇▇▇▇▇▇/Tracks Shareholder at any time when a Prospectus relating to the Registrable Securities is required to be delivered under the Securities Act and within the Trust Indenture Act and did not include any appropriate period mentioned in Subsection 2.10(c)(ii) above, if Insituform becomes aware that the Prospectus included in the Registration Statement, as then in effect, includes an untrue statement of a material fact or omit omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At misleading in the Applicable Timelight of the circumstances then existing, and, at the Registration Statement and the Pricing Prospectus conformed in all material respects request of any such ▇▇▇▇▇▇/Tracks Shareholder, deliver a reasonable number of copies of an amended or supplemental prospectus as may be necessary so that, as thereafter delivered to the requirements purchasers of the Securities Actsuch Registrable Securities, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any each prospectus shall not include an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, therein not misleading in the light of the circumstances under then existing.
(vii) Otherwise use its best efforts to comply with all applicable rules and regulations of the SEC and make generally available to its security holders, in each case as soon as practicable, but not later than 45 calendar days after the close of the period covered thereby (90 calendar days in case the period covered corresponds to a fiscal year of Insituform), an earnings statement of Insituform which they were madewill satisfy the provisions of Section 11(a) of the Securities Act.
(d) Insituform promptly will advise the ▇▇▇▇▇▇/Tracks Shareholders when the Registration Statement has become effective and of any supplements or amendments thereto, not misleadingand Insituform will furnish the ▇▇▇▇▇▇/Tracks Shareholder with copies of all such documents. The ProspectusNeither Company nor any ▇▇▇▇▇▇/Tracks Shareholder shall distribute any written material that might constitute a "prospectus" relating to the Merger or the Insituform Shares within the meaning of the Securities Act or any applicable state securities Law without the prior written consent of Insituform.
(e) Each holder of Registrable Securities covered by the Registration Statement referred to in this Section will, upon receipt of any notice from Insituform of the happening of any event of the kind described in Section 2.10(c)(vi) above, forthwith discontinue disposition of the Registrable Securities pursuant to the Registration Statement until such holder's receipt of the copies of the supplemented or amended Prospectus contemplated by Section 2.10(c)(vi) above.
(f) Insituform will, and it hereby agrees to, indemnify and hold harmless, to the extent permitted by Law, each holder of any Registrable Securities covered by the Registration Statement, and each other Person, if any, who controls such holder within the meaning of the Securities Act, as follows:
(i) against any and all loss, liability, claim, damage or expense whatsoever arising out of its date and as of the Closing Date, did not and will not include any or based upon an untrue statement or alleged untrue statement of a material fact contained in any Registration Statement (or omit to state any amendment or supplement thereto), including all documents incorporated therein by reference, or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading, or arising out of an untrue statement or alleged untrue statement of a material fact contained in any preliminary prospectus or Prospectus (or any amendment or supplement thereto) or the omission or alleged omission therefrom of a material fact necessary in order top make the statements therein, in the light of the circumstances under which they were made, not misleading;
(ii) against any and all loss, liability, claim, damage and expense whatsoever to the extent of the aggregate amount paid in settlement of any litigation, or investigation or proceeding by any governmental agency or body, commenced or threatened, or of any claim whatsoever based upon any such untrue statement or omission, or any such alleged untrue statement or omission, if such settlement is effected with the written consent of Insituform; and
(iii) against any and all expense reasonably incurred by them in connection with investigating, preparing or defending against any litigation, or investigation or proceeding by any governmental agency or body, commenced or threatened, or any claim whatsoever based upon any such untrue statement or omission, or any such alleged untrue statement or omission to the extent that any such expense is not paid under Subsection 2.10(f)(i) or (f)(ii) above. Notwithstanding Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of such holder of Registrable Securities or any such director, officer, employee, agent, general or limited partner, investment advisor or agent, underwriter or controlling person and shall survive the foregoingtransfer of such securities by such holder.
(g) Each ▇▇▇▇▇▇/Tracks Shareholder shall indemnify and hold harmless (in the same manner and to the same extent as set forth in Section 2.10(f) above) Insituform, and each of its officers, directors, and Person, if any, who controls Insituform within the Company does not make any representation or warranty meaning of the Securities Act, with respect to Underwriter Informationany statement or alleged statement in or omission or alleged omission from the Registration Statement, any preliminary, final or summary Prospectus contained therein, or any amendment or supplement, if such statement or alleged statement or omission or alleged omission was made in reliance upon and in conformity with written information furnished to Insituform by or on behalf of such ▇▇▇▇▇▇/Tracks Shareholder. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of Insituform or any such director, officer or controlling person and shall survive the transfer of such securities by such ▇▇▇▇▇▇/Tracks Shareholder. In that event, the obligations of the Insituform and such ▇▇▇▇▇▇/Tracks Shareholder pursuant to Subsections 2.10(f) and (g) are to be several and not joint; provided, however, that, with respect to each claim pursuant to Subsections 2.10(f) and (g), Insituform shall be liable for the full amount of such claim, and each such ▇▇▇▇▇▇/Tracks Shareholder's liability under this Subsection shall be limited to an amount equal to the net proceeds (after deducting the underwriting discount and expenses) received by such ▇▇▇▇▇▇/Tracks Shareholder from the sale of Registrable Securities by such ▇▇▇▇▇▇/Tracks Shareholder pursuant to this Section.
(h) Promptly after receipt by an indemnified party hereunder of written notice of the commencement of any action or proceeding involving a claim referred to in this Section, such indemnified party will, if a claim in respect thereof is to be made against an indemnifying party, give written notice to such indemnifying party of the commencement of such action; provided, however, that the failure of any indemnified party to give notice as provided herein shall not relieve the indemnifying party of its obligations under this Section, except to the extent (not including any such notice of an underwriter) that the indemnifying party is materially prejudiced by such failure to give notice. In case any such action is brought against an indemnified party, unless in such indemnified party's reasonable judgment a conflict of interest between such indemnified and indemnifying parties may exist in respect of such claim (in which case the indemnifying party shall not be liable for the fees and expenses of more than one firm of counsel selected by holders of a majority of the shares of Registrable Securities included in the offering or more than one firm of counsel for the underwriters in connection with any one action or separate but similar or related actions), the indemnifying party will be entitled to participate in and to assume the defense thereof, jointly with any other indemnifying party similarly notified, to the extent that it may wish with counsel reasonably satisfactory to such indemnified party, and after notice from the indemnifying party to such indemnified party of its election so to assume the defense thereof, the indemnifying party will not be liable to such indemnified party for any legal or other expenses subsequently incurred by such indemnifying party in connection with the defense thereof, provided that the indemnifying party will not agree to any settlement without the prior consent of the indemnified party (which consent shall not be reasonably withheld) unless such settlement requires no more than a monetary payment for which the indemnifying party agrees to indemnify the indemnified party (which consent shall not be unreasonably withheld) and includes a full, unconditional and complete release of the indemnified party; provided, however, that the indemnified party shall be entitled to take control of the defense of any claim as to which, in the reasonable judgment of the indemnifying party's counsel, representation of both the indemnifying party and the indemnified party would be inappropriate under the applicable standards of profession conduct due to actual or potential differing interests between them. In the event that the indemnifying party does not assume the defense of a claim pursuant to this Subsection, the indemnified party will have the right to defend such claim by all appropriate proceedings, and will have control of such defense and proceedings, and the indemnified party shall have the right to agree to any settlement without the prior consent of the indemnifying party. Each indemnified party shall, and shall cause its legal counsel to, provide reasonable cooperation to the indemnifying party and its legal counsel in connection with its assuming the defense of any claim, including the furnishing of the indemnifying party with all papers served in such proceeding. In the event that an indemnifying party assumes the defense of an action under this Subsection, then such indemnifying party shall, subject to the provisions of this Section, indemnify and hold harmless the indemnified party from any and all losses, claims, damages or liabilities by reason of such settlement or judgmen
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on May 14, 2021. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The “Plan of Distribution” section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor in accordance with this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on June 10, 2022. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The "Plan of Distribution" section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor in accordance with this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to Applicable Law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a "free writing prospectus" as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Acta) that has been filed HEALTHSOUTH shall prepare and file with the SEC not earlier than three years prior and any other applicable regulatory bodies, as soon as reasonably practicable, a Registration Statement on Form S-4 with respect to the date shares of HEALTHSOUTH Common Stock to be issued in the Pricing Agreement; no notice of objection of Merger (the SEC to the use of such "Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SECStatement"), and any request on the part of the SEC for additional information pertaining will otherwise proceed promptly to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to satisfy the requirements of the Securities Act of 1933 (the "Securities Act"), including Rule 145 thereunder. Such Registration Statement shall contain a proxy statement of Horizon/CMS (the "Proxy Statement") containing the information required by the Securities Exchange Act of ▇▇▇▇ (▇▇▇ "▇▇▇▇▇▇▇▇ ▇▇▇"). HEALTHSOUTH shall take all reasonable steps to cause the Registration Statement to be declared effective and to maintain such effectiveness until all of the Trust Indenture Act shares covered thereby have been distributed. HEALTHSOUTH shall promptly amend or supplement the Registration Statement to the extent necessary in order to make the statements therein not misleading or to correct any misstatements which have become false or misleading. HEALTHSOUTH shall provide Horizon/CMS with copies of all filings made pursuant to this Section 7.4 and did not include shall consult with Horizon/CMS on responses to any comments made by the Staff of the SEC with respect thereto.
(b) The information specifically designated as being supplied by Horizon/CMS for inclusion in the Registration Statement shall not, at the time the Registration Statement is declared effective, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. At The information specifically designated as being supplied by Horizon/CMS for inclusion in the Applicable TimeProxy Statement shall not, at the Registration Statement and date the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Proxy Statement (as amended or supplemented by the Pricing Prospectusany amendment thereof or supplement thereto) nor the Time is first mailed to holders of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements thereinHorizon/CMS Common Stock, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were are made, not misleading. Notwithstanding If at any time prior to the foregoingEffective Time any event or circumstance relating to Horizon/CMS, or its officers or directors, should be discovered by Horizon/CMS that is required, under the Company does applicable provisions of the Securities Act or Exchange Act or the rules and regulations of the SEC thereunder to be set forth in an amendment to the Registration Statement or a supplement to the Proxy Statement, Horizon/CMS shall promptly so inform HEALTHSOUTH. All documents, if any, that Horizon/CMS is responsible for filing with the SEC in connection with the transactions contemplated herein will comply as to form and substance in all material respects with the applicable requirements of the Securities Act and the rules and regulations thereunder and the Exchange Act and the rules and regulations thereunder.
(c) The information specifically designated as being supplied by HEALTHSOUTH for inclusion in the Registration Statement shall not, at the time the Registration Statement is declared effective, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein not misleading. The information specifically designated as being supplied by HEALTHSOUTH for inclusion in the Proxy Statement to be sent to the holders of Horizon/CMS Common Stock in connection with the Special Meeting shall not, at the date the Proxy Statement (or any amendment thereof or supplement thereto) is first mailed to holders of Horizon/CMS Common Stock, contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they are made, not misleading. If at any representation time prior to the Effective Time any event or warranty circumstance relating to HEALTHSOUTH or its officers or directors, should be discovered by HEALTHSOUTH that is required, under the applicable provisions of the Securities Act or Exchange Act or the rules and regulations of the SEC thereunder to be set forth in an amendment to the Registration Statement or a supplement to the Proxy Statement, HEALTHSOUTH shall promptly inform Horizon/CMS and shall promptly file such amendment to the Registration Statement. All documents that HEALTHSOUTH is responsible for filing with the SEC in connection with the transactions contemplated herein will comply as to form and substance in all material respects with the applicable requirements of the Securities Act and the rules and regulations thereunder and the Exchange Act and the rules and regulations thereunder.
(d) Prior to the Closing Date, HEALTHSOUTH shall use its reasonable, good faith efforts to cause the shares of HEALTHSOUTH Common Stock to be issued pursuant to the Merger to be registered or qualified under all applicable securities or Blue Sky laws of each of the states and territories of the United States, and to take any other actions which may be necessary to enable the Common Stock to be issued pursuant to the Merger to be distributed in each such jurisdiction.
(e) Prior to the Closing Date, HEALTHSOUTH shall file an additional listing application (the "Listing Application") with the Exchange relating to the shares of HEALTHSOUTH Common Stock to be issued in connection with the Merger, and shall use its reasonable, good faith efforts to cause such shares of HEALTHSOUTH Common Stock to be approved for listing on the Exchange, upon official notice of issuance, prior to the Closing Date.
(f) Horizon/CMS shall furnish all information to HEALTHSOUTH with respect to Underwriter InformationHorizon/CMS and the Horizon/CMS Subsidiaries and Horizon/CMS Other Entities as HEALTHSOUTH may reasonably request for inclusion in the Registration Statement, the Proxy Statement and the Listing Application, and shall otherwise cooperate with HEALTHSOUTH in the preparation and filing of such documents.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-declared effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received and by each applicable state regulatory body or commission (a “State Commission”) described on Schedule I hereto; no stop order of the Company; and no order Commission or a State Commission preventing or suspending the use of the Preliminary Prospectus or the Prospectus or the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding proceedings for that such purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending or, to the knowledge of the Company, is contemplated instituted or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to Commission or a State Commission; the Registration Statement has been complied with. As when it became effective, complies and will comply, at the time of its applicable effective datepurchase, the Registration Statement conformed in all material respects to with the requirements of the Securities Act and the Trust Indenture blue sky laws, rules and regulations of the states listed on Schedule I and the Preliminary Prospectus complied, as of its date and at the time of purchase, in all material respects, with the requirements of the Securities Act and the applicable rules and regulations promulgated thereunder; the conditions to the use of Form S-1 in connection with the offering and sale of the Units as contemplated hereby have been satisfied; the Registration Statement did not include any not, as of the time such Registration Statement became effective, and at the time of purchase, contain an untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, ; the Registration Statement and the Pricing Prospectus conformed will comply, as of the date that it is filed with the Commission, the date of the Registration Statement and the Prospectus and, as amended or supplemented, at all times during the period beginning with the execution of this Agreement and ending on the Closing Date (as defined below) or any Subsequent Closing Date (as defined below), in all material respects to respects, with the requirements of the Securities Act (including, without limitation, Section 10(a) of the Securities Act, the Trust Indenture Act, and neither ); the Registration Statement (and the Prospectus, as of the date that it is filed with the Commission, the date of the Prospectus and, as amended or supplemented by supplemented, at the Pricing Prospectus) nor the Time time of Sale Disclosure Package included any purchase did not or will not include an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that if, at any time after the time of purchase, the Company is obligated to prepare and furnish to the Underwriter an amendment or supplement to the Prospectus under Section 3(A)(e) of this Agreement and so furnishes such amendment or supplement, then from and after the time that such Prospectus as amended or supplemented is furnished to the Underwriter in accordance with Section 3(A)(e), the term “Prospectus” shall be deemed to mean the Prospectus as so amended or supplemented; provided further, however, that the representations and warranties set forth in this paragraph do not apply to statements or omissions in the Registration Statement or the Prospectus or any such amendment or supplement in reliance upon and in conformity with written information furnished to the Company by the Underwriter expressly for use therein , such information being listed in the penultimate sentence of Section 8(b) of this Agreement. The Each copy of the Preliminary Prospectus and the Prospectus, as of its date delivered to the Underwriter for use in connection with the offer and as sale of the Closing Date, did not and will not include any untrue statement of a material fact Units was identical to the copies thereof filed by electronic transmission pursuant to ▇▇▇▇▇ (except as may be permitted by Regulation S-T under the Securities Act). There are no contracts or omit to state any material fact other documents required to be stated therein described in the Registration Statement and Prospectus or necessary to make be filed as exhibits to the statements therein, in light of the circumstances under Registration Statement which they were made, have not misleading. Notwithstanding the foregoing, the Company does not make any representation been described or warranty with respect to Underwriter Informationfiled as required.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under meets the requirements set forth in Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2415(a)(1)(x) under the Securities Act and complies with said Rule and the U.S. Prospectus Supplement will meet the requirements set forth in Rule 424(b). The Company has been received by advised the Company; Co-Lead Underwriters of all further information (financial and no other) with respect to the Company required to be set forth therein in the Registration Statement and U.S. Prospectus Supplement. The Registration Statement has become effective under the Securities Act. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC is in effect and no proceeding proceedings for that such purpose have been instituted or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is are pending or, to the knowledge of the Company, is are contemplated or threatened by the SEC, . The U.S. Prospectus when filed complied in all material respects with the Securities Act and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed is identical in all material respects to the requirements copies thereof delivered to the Underwriters for use in connection with the offer and sale of the Units. Each of the Registration Statement and any post-effective amendment thereto, at the time each part thereof became effective pursuant to the Securities Act and at the Trust Indenture Closing Date, complied and will comply in all material respects with the Securities Act and did not include and, any amendment or supplement thereto, will not contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At As of the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included did not, and at the time of the Closing Date, the Time of Sale Disclosure Package, as then amended or supplemented by the Company, if applicable, will not, contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The U.S. Prospectus, as amended or supplemented, as of its date and as of at the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding The representations and warranties set forth in the foregoingthree immediately preceding sentences shall not apply to statements in, or omissions from, any such document made in reliance upon, and in conformity with, information furnished to the Company does by the Underwriters specifically for use in the preparation thereof as set forth in Section 10(2). There are no agreements, contracts, arrangements or understandings (written or oral) or other documents required to be described in the Time of Sale Prospectus or the U.S. Prospectus or to be filed as exhibits to the Registration Statement which have not make any representation been described or warranty with respect to Underwriter Informationfiled as required.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior JOINT PROXY STATEMENT/PROSPECTUS. Subject to the date accuracy of the Pricing Agreement; no notice of objection of representations contained in SECTION 5.27, the SEC to the use of such Registration Statement information supplied by FNC or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of FNC Subsidiary in writing for inclusion in the Registration Statement shall not, at the time the Registration Statement (including any amendments or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or supplements thereto) is pending or, to the knowledge of the Company, is contemplated or threatened declared effective by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At The Joint Proxy Statement/Prospectus will not, on the Applicable date the Joint Proxy Statement/Prospectus is first mailed to shareholders, at the time of the Shareholder Meetings and at the Effective Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectusa) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading, or (b) contain any statement which (i) at the time and in light of the circumstances under which it was made is false or misleading with respect to any material fact or (ii) omits to state any material fact necessary to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication with respect to the solicitation of proxies for the Shareholder Meetings which has become false or misleading. If at any time prior to the Effective Time any event relating to FNC, the FNC Subsidiaries or any of their Affiliates, officers or directors should be discovered by FNC or any FNC Subsidiary which should be set forth in an amendment to the Registration Statement or a supplement to the Joint Proxy Statement/Prospectus, FNC will promptly inform FirstBancorporation. The Joint Proxy Statement/Prospectus shall comply in all material respects with the requirements of the Securities Laws. Notwithstanding the foregoing, the Company does not make any FNC makes no representation or warranty with respect to Underwriter Informationany information supplied by FirstBancorporation or the Subsidiaries which is contained or incorporated by reference in, or furnished in connection with the preparation of, the Registration Statement or the Joint Proxy Statement/Prospectus.
Appears in 1 contract
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on March 19, 2020. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement without reliance on General Instruction I.B.6. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. The Company has not been since June 30, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Closing DateExchange Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, did and, until the Investor does not hold any of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not include make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any untrue statement such free writing prospectus consented to by the Investor, including in respect of a material fact or omit to state any material fact required to be stated therein or necessary to make timely filing with the statements thereinSEC, in light legending and record keeping. The offering of the circumstances under which they were made, not misleading. Notwithstanding Securities pursuant to this Agreement qualifies for the foregoing, exemption from the Company does not make any representation or warranty with respect to Underwriter Informationfiling requirements of Rule 5110 of the FINRA afforded by FINRA Rule 5110(b)(7)(C)(i).
Appears in 1 contract
Sources: Purchase Agreement (iBio, Inc.)
Registration Statement. The Company has prepared and filed the Shelf Registration Statement with the SEC in accordance with the Securities Act. The Shelf Registration Statement was declared effective by order of the SEC on June 6, 2019. The Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Shelf Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, . The “Plan of Distribution” section of the Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the SEC for additional information pertaining to Securities Act, the Shelf Registration Statement has been and any amendments thereto complied with. As of its applicable effective date, the Registration Statement conformed and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor in accordance with this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering, not misleading. Notwithstanding issuance and sale of any of the foregoingSecurities, other than the Shelf Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not make any representation or warranty with respect made an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under meets the requirements set forth in Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2415(a)(1)(x) under the Securities Act and complies with said Rule and the Preliminary Prospectus Supplement and Prospectus Supplement will meet the requirements set forth in Rule 424(b). The Company has been received by advised the Company; Underwriters of all further information (financial and no other) with respect to the Company required to be set forth therein in the Registration Statement, the Preliminary Prospectus Supplement, the Prospectus Supplement, and the Time of Sale Prospectus. The Registration Statement has become effective under the Securities Act. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC is in effect and no proceeding proceedings for that such purpose have been instituted or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is are pending or, to the knowledge of the Company, is are contemplated or threatened by the SEC, Commission. The Preliminary Prospectus and any request on the part of Prospectus when filed complied in all material respects with the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed Securities Act and are identical in all material respects to the requirements copies thereof delivered to the Underwriters for use in connection with the offer and sale of the Shares. Each of the Registration Statement and any post-effective amendment thereto, at the time each part thereof became effective pursuant to the Securities Act and at the Trust Indenture Closing Date and each Option Closing Date, complied and will comply in all material respects with the Securities Act and did not include and, any amendment or supplement thereto, will not contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary to make the statements therein not misleading. At As of the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included did not, and at the time of the Closing Date and each Option Closing Date, the Time of Sale Disclosure Package, as then amended or supplemented by the Company, if applicable, will not, contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Prospectus, as amended or supplemented, as of its date and as of at the Closing Date and each Option Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding The representations and warranties set forth in the foregoingimmediately preceding sentences shall not apply to statements in, or omissions from, any such document made in reliance upon, and in conformity with, information furnished to the Company does not make any representation or warranty with respect to by an Underwriter Informationspecifically for use in the preparation thereof.
Appears in 1 contract
Registration Statement. Parent has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on June 22, 2016. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Shares thereunder, and Parent has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (a) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (b) issued any part order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has threatened in writing to do so. The “Plan of Distribution” section of the Prospectus permits the issuance of the Shares hereunder. At the time the Registration Statement and any amendments thereto became effective, at the date of this Amendment and at each deemed effective date thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A Rule 430B(f)(2) of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to Seller furnished to Parent in writing by or on behalf of Seller expressly for use therein. Parent meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Shares contemplated by this Amendment without reliance on General Instruction I.B.6. of Form S-3, and the SEC has not notified Parent of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The ProspectusRegistration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. Parent has not been since March 31, 2016, and currently is not, an Ineligible Issuer (as defined in Rule 405 of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act).
Appears in 1 contract
Sources: Membership Interest Purchase Agreement (Transenterix Inc.)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on August 21, 2014. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Purchase Shares thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has threatened in writing to do so. The “Plan of Distribution” section of the Prospectus permits the issuance of the Purchase Shares hereunder. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A Rule 430B(f)(2) of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Closing Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to any of the Investors furnished to the Company in writing by or on behalf of such Investor expressly for use therein. The Prospectus, as of its date and as Company meets all of the Closing Date, did not and will not include any untrue statement requirements for the use of a material fact or omit registration statement on Form S-3 pursuant to state any material fact required to be stated therein or necessary to make the statements therein, in light Securities Act for the offering and sale of the circumstances under which they were madePurchase Shares contemplated by this Agreement in reliance on General Instruction I.B.6. of Form S-3, and the SEC has not misleading. Notwithstanding the foregoing, notified the Company does of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Purchase Shares to the Investors pursuant to this Agreement would not make any representation or warranty result in non-compliance with respect to Underwriter InformationGeneral Instruction I.B.6.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement in conformity with the requirements of the Securities Act, which became effective on December 31, 2025 and a post-effective amendment to the Registration Statement, which became effective on [●], including the Prospectus, and such amendments and supplements thereto as may have been required to the date of this Agreement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and any request on the part regulations of the SEC for additional information pertaining Commission, shall file the Final Prospectus with the Commission pursuant to Rule 424(b). At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable effective datethis Agreement and at the Closing Date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading; and the Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding The Company was at the foregoing, time of the filing of the Registration Statement eligible to use Form F-1. The Company does not make any representation or warranty with respect is eligible to Underwriter Informationuse Form F-1 under the Securities Act and it meets the requirements set forth in General Instruction I.A of Form F-1.
Appears in 1 contract
Sources: Securities Purchase Agreement (Waton Financial LTD)
Registration Statement. (a) The Purchaser has filed a Registration Statement is an on Form S-3 (the “automatic shelf registration statement” Registration Statement”) registering the resale from time to time of Village Farms Shares by selling security holders generically. The Purchaser shall file a prospectus supplement (as defined under pursuant to Rule 405 424(b) under the U.S. Securities Act) to the Registration Statement identifying the Sellers as selling securityholders of Registrable Shares (each, a “Prospectus Supplement”) within four (4) months of the later of (i) the date on which such Registrable Shares are issued to and acquired by the Sellers, or (ii) the date that has been filed the Sellers have furnished (y) in writing to the Purchaser such information regarding such Seller, the Registrable Shares held by such Seller and the intended method of disposition of the Registrable Shares in the form as shall be reasonably acceptable to the Purchaser, and (z) such executed documents from such Seller that are necessary for compliance with SEC rules and regulations in connection with such registration and/or otherwise customary of a selling shareholder in similar situations (such later date, the SEC not earlier than three years prior “Prospectus Supplement Filing Deadline”). The Purchaser shall provide prompt notice to the Sellers’ Representative of the filing of the applicable Prospectus Supplement. The obligations of the Purchaser in this Section (a) shall be subject to the timely cooperation of the Sellers in providing the information and executing any documents as contemplated in the immediately preceding sentence, and any Seller who fails to provide all requested information for purposes of disclosure in the applicable Prospectus Supplement, as applicable, by the Prospectus Supplement Filing Deadline may be excluded from such Prospectus Supplement. As of the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateProspectus Supplement, the Registration Statement conformed (together with such Prospectus Supplement) will comply in all material respects to with the requirements provisions of the U.S. Securities Act Act, and the Trust Indenture Act and did will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleadingfalse or misleading (a “Material Misstatement”); provided, however, that none of the provisions of the preceding sentence shall apply to statements in or omissions from the Registration Statement (together with any applicable Prospectus Supplement) made in reliance upon and in conformity with information furnished solely by the Sellers for use in the Registration Statement and/or any applicable Prospectus Supplement. The ProspectusAs soon as practicable after a Prospectus Supplement being filed with the SEC, the Purchaser will issue and deliver to the Purchaser’s transfer agent an irrevocable treasury order authorizing such transfer agent, as of its date the registrar and transfer agent for the Village Farms Shares, to remove all legends on the Village Farms Shares that are included as of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, Registrable Shares in light of the circumstances under which they were made, not misleadingsuch Prospectus Supplement. Notwithstanding the foregoing, the Company does Purchaser’s sole obligation with respect to such legend removal shall be the delivery of such treasury order, and the Purchaser shall have no liability to any Seller or any other Party, and shall not make be deemed to have made any representation or warranty assurance, with respect to Underwriter Informationthe actual time elapsed between the submission of such treasury order and the removal of any such applicable legends. It is understood and acknowledged that the only evidence that the Sellers whose legends are so removed shall be unlegended DRS advice statements issued by the Purchaser’s transfer agent and, accordingly, it is the sole responsibility of any such Sellers to instruct their respective securities brokers to move such unlegended DRS advice positions into electronic book-entry positions to facilitate open market transactions over the NASDAQ or the TSX.
(b) The Purchaser shall (i) give the Sellers’ Representative the opportunity to review and comment on each Prospectus Supplement, any amendments to each such Prospectus Supplement, and, to the extent not prohibited by Law, related written correspondence with the SEC before the applicable Prospectus Supplement and any such amendment is filed with or provided to the SEC in final form, (ii) notify the Sellers’ Representative promptly of the time when any supplement or amendment to the Registration Statement that relates to resales of Registrable Shares by the Sellers has been filed, and of the issuance of any stop order or suspension of the registration under the U.S. Securities Act of the Village Farms Shares to be resold under the Registration Statement, (iii) if applicable, make all necessary filings under the U.S. Securities Act and applicable state securities or “Blue Sky” laws and the rules and regulations thereunder for the issuance of Village Farms Shares under this Agreement, and timely obtain any actions, consents approvals or waivers required in connection therewith, and (iv) if applicable, notify NASDAQ of the Village Farms Shares to be issued pursuant to this Agreement in accordance with NASDAQ rules and regulations.
(c) Each Seller shall comply with all U.S. and/or Canadian federal, state and/or provincial securities Laws applicable to such Seller in connection with the resale of Registrable Shares pursuant to the Registration Statement and/or the applicable Prospectus Supplement. The Purchaser shall notify each Seller promptly upon the Purchaser’s reasonable determination in its good faith judgment that the Registration Statement or any supplement to any prospectus forming a part of the Registration Statement (including any Prospectus Supplement) contains a Material Misstatement. In the case of any such notice, the Purchaser shall use best efforts to supplement or amend such prospectus as promptly as practicable so that such prospectus will not contain such Material Misstatement and shall provide a copy of such supplemented or amended prospectus to each Seller as promptly as practicable, but no later than three (3) Business Days following the filing thereof with the SEC. Upon being notified by the Purchaser of any Material Misstatement, each Seller shall refrain from selling any Registrable Shares pursuant to the Registration Statement until such holders of Village Farms Shares receive from the Purchaser copies of a supplemented or amended prospectus prepared and filed by the Purchaser, or until the Purchaser notifies such Sellers in writing that the then current prospectus may be used.
(d) Following the effectiveness of the Registration Statement, the Purchaser shall use commercially reasonable efforts to cause the Registration Statement to be continuously effective until earlier of (i) July 11, 2024 (the expiration date of the Registration Statement) and (ii) such time as the Registrable Shares represent less than one percent (1%) of the outstanding Village Farms Shares (such period, the “Registration Period”). If the Registration Statement ceases to be effective under the U.S. Securities Act for any reason at any time during the Registration Period, the Purchaser shall use its best efforts to promptly cause such Registration Statement to again become effective under the U.S. Securities Act (including obtaining the prompt withdrawal of any order suspending the effectiveness of such Registration Statement), and in any event shall within thirty (30) days of such cessation of effectiveness, amend such Registration Statement in a manner reasonably expected to obtain the withdrawal of any order suspending the effectiveness of such Registration Statement or, file an additional registration statement for an offering to be made on a delayed or continuous basis pursuant to Rule 415 under the U.S. Securities Act registering the resale from time to time by Sellers thereof of all securities that are Registrable Shares as of the time of such filing. If such an additional registration statement is filed, the Purchaser shall use its reasonable efforts to (a) cause such additional registration statement to become effective under the U.S. Securities Act as promptly as is reasonably practicable after such filing, and (b) keep such additional registration statement (or another additional registration statement) continuously effective until the end of the Registration Period. The Purchaser shall supplement and amend the Registration Statement or additional registration statement contemplated hereunder if required by the rules, regulations or instructions applicable to the registration form used by the Purchaser for such registration statement if required by the U.S. Securities Act or as reasonably requested by the Sellers.
(e) From the date of this Agreement until the end of the Registration Period, the Purchaser shall use best efforts to make and keep public all of the issuer information contemplated by Rule 144 under the U.S. Securities Act, and file with the SEC in a timely manner all reports and other documents required to be filed by the Purchaser under the U.S. Securities Act and the U.S. Exchange Act, in each case in order to permit resale of the Village Farms Shares issued as the Share Consideration in compliance with Rule 144 under the U.S. Securities Act.
(f) All expenses (other than Registrable Shares Selling Expenses) incurred in connection with registrations, filings, or qualifications pursuant to Section 9.7, including all registration, filing, and qualification fees, printers’ and accounting fees, and fees and disbursements of counsel for the Purchaser shall be borne and paid by the Purchaser. All Registrable Shares Selling Expenses relating to Registrable Shares registered pursuant to this Section 9.7 shall be borne and paid by the Sellers according to their Pro Rata Shares.
(g) To the extent permitted by law, the Purchaser will indemnify and hold harmless each Seller named in the Registration Statement and/or a Prospectus Supplement, and ; legal counsel and accountants for each such Seller; any underwriter (as defined in the U.S. Securities Act) for each such Seller; and each Person, if any, who controls each such Seller or underwriter within the meaning of the U.S. Securities Act, against any liabilities under the U.S. Securities Act from the offer and sale of any the Village Farms Shares pursuant to the Registration Statement and/or the applicable Prospectus Supplement, and the Purchaser will pay to each such Seller, underwriter, controlling Person, or other aforementioned Person any legal or other expenses reasonably incurred thereby in connection with investigating or defending any Legal Proceeding from which such liabilities under the U.S. Securities Act may result, as such expenses are incurred; provided, however, that the indemnity agreement contained in this Section 9.7(g) shall not apply to amounts paid in settlement of any such Legal Proceeding if such settlement is effected without the consent of the Purchaser, which consent shall not be unreasonably withheld, nor shall the Purchaser be liable under this Section 9.7(g) to the extent that they arise out of or are based upon actions or omissions (i) made in reliance upon and in conformity with written information furnished by or on behalf of any such Seller, underwriter, controlling Person, or other aforementioned Person expressly for use in connection with the Registration Statement and/or the applicable Prospectus Supplement, or (ii) due to any Seller’s failure to deliver an amended or supplemental prospectus furnished to such Seller by the Purchaser, if required by Law to have been delivered, if such loss, liability, claim, damage, judgment or expense would not have arisen had such delivery occurred.
(h) To the extent permitted by law, each Seller named in the Registration Statement and/or a Prospectus Supplement, severally and not jointly, will indemnify and hold harmless the Purchaser, and each of its directors, each of its officers who has signed the Registration Statement, each Person (if any), who controls the Purchaser within the meaning of the U.S. Securities Act, legal counsel and accountants for the Purchaser, any underwriter (as defined in the U.S. Securities Act), each other Seller, and any controlling Person of any such underwriter or other Seller, against any liabilities under the U.S. Securities Act arising from the offer and sale of any the Village Farms Shares pursuant to the Registration Statement and/or the applicable Prospectus Supplement, in each case only to the extent that such liabilities under the U.S. Securities Act arise out of or are based upon actions or omissions made in reliance upon and in conformity with written information furnished by or on behalf of such Seller expressly for use in connection with such Registration Statement and/or Prospectus Supplement; and each such Seller will pay to the Purchaser and each other aforementioned Person any legal or other expenses reasonably incurred thereby in connection with investigating or defending any such Legal Proceeding from which such liabilities under the U.S. Securities Act may result, as such expenses are incurred; provided, however, that the indemnity agreement contained in this Section 9.7(h) shall not apply to amounts paid in settlement of any such Legal Proceeding if such settlement is effected without the consent of such applicable Seller, which consent shall not be unreasonably withheld; and provided further that in no event shall the aggregate amounts payable by such Seller by way of indemnity or contribution under this Section 9.7(h) exceed the proceeds from the offering received by such Seller (net of any selling expenses paid by such Seller), except in the case of fraud or willful misconduct by such Seller.
(i) The Sellers hereby agree and acknowledge that (i) nothing in this Section 9.7 shall confer upon Sellers any piggyback registration rights with respect to any Village Farms Shares, and the Purchaser shall have no obligation to conduct any underwritten offerings in respect of any resales of Village Farms Shares under the Registration Statement; and (ii) the Purchaser shall have no obligation to deliver any legal opinions, negative assurance disclosure letters or comfort letters in connection with any such resales (except for any legal opinions customarily required by the transfer agent of the Purchaser to facilitate the removal of legends upon filing of the applicable Prospectus Supplement).
Appears in 1 contract
Sources: Share Purchase Agreement (Village Farms International, Inc.)
Registration Statement. The Any Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 filed with the Commission, and any amendment thereto, including any information deemed to be included therein pursuant to the rules and regulations of the Commission promulgated under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As will comply as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and did regulations of the Commission promulgated thereunder, and will not include contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein therein, in light of the circumstances under which they were made, not misleading. At As of the Applicable Timedate it is declared effective by the Commission, the Registration Statement Statement, as so amended, and the Pricing Prospectus conformed any related registration statements, will comply in all material respects to with the requirements of the Securities Act, Act and the Trust Indenture Actrules and regulations of the Commission promulgated thereunder, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included will not contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. Any preliminary Prospectus included in the Registration Statement or any amendment thereto, any free writing Prospectus related to the Registration Statement and any final Prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as prior written consent of the Closing Date, did not and Holder will not include have been obtained by PubCo for any untrue statement of a material fact content in the Registration Statement which relates to or omit to state any material fact required to be stated therein references the Holder or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Informationits Affiliates.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on February 1, 2024. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Purchase Shares thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC SEC, and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities Purchase Shares has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part . The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Purchase Shares under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was filed and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Purchase Shares contemplated by this Agreement in reliance on General Instruction I.B.1., and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Purchase Shares to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date and as of effective date, meets the Closing Date, did not and will not include any untrue statement of a material fact or omit requirements set forth in Rule 415(a)(1)(x) pursuant to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter InformationSecurities Act.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on September 5, 2019. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof has been issued by order preventing or suspending the SEC and no proceeding for that purpose or pursuant to Section 8A use of the Securities Act against the Company Prospectus or related to the offering of the Securities has been initiated any Prospectus Supplement, in either case, either temporarily or is pending permanently or intends or, to the knowledge of the Company, is contemplated or has threatened by the SEC, and any request on the part in writing to do so. The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date hereof and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of its applicable effective datethe Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as of the Closing Date, did not and will not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading; and the Base Prospectus and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects with the requirements of the Securities Act and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. Notwithstanding The Company currently meets all of the foregoingrequirements for the use of a registration statement on Form S-3 pursuant to the Securities Act in reliance on General Instruction I.B.1 of Form S-3 for the offering and sale of the Securities contemplated by this Agreement, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its effective date, meets in all material respects the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another participant in the transactions contemplated hereby made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was not, and as of the date hereof the Company is, not an “Ineligible Issuer” (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not hold any of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to Applicable Laws or the Transaction Documents. The Company has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. The Company prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under in conformity with the requirements of the Securities Act) that has , which became automatically effective upon filing on September 19, 2025, including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form S-3. The Company is eligible to use Form S-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering, as set forth in General Instruction I.B.1 of Form S-3.
Appears in 1 contract
Sources: Securities Purchase Agreement (Empery Digital Inc.)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on October 3, 2014. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement without reliance on General Instruction I.B.6. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect of timely filing with the SEC, legending and record keeping. The offering of the Securities pursuant to Underwriter Informationthis Agreement qualifies for the exemption from the filing requirements of Rule 5110 of the Financial Industry Regulatory Authority (“FINRA”) afforded by FINRA Rule 5110(b)(7)(C)(i).
Appears in 1 contract
Sources: Purchase Agreement (Unilife Corp)
Registration Statement. The Company has prepared and filed with the SEC in accordance with the provisions of the Securities Act the Registration Statement. The Registration Statement was declared effective by order of the SEC on July 20, 2012. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under effective pursuant to the Securities Act) Act and available for the issuance of the Securities thereunder, and the Company has not received any written notice that has been filed with the SEC not earlier than three years prior has issued or intends to issue a stop order or other similar order with respect to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2the Prospectus or that the SEC otherwise has (i) under the Securities Act has been received by the Company; and no order suspending suspended or withdrawn the effectiveness of the Registration Statement or (ii) issued any part thereof order preventing or suspending the use of the Prospectus or any Prospectus Supplement, in either case, either temporarily or permanently or intends or has been issued by threatened in writing to do so. The “Plan of Distribution” section of the SEC and no proceeding for that purpose or pursuant to Section 8A Prospectus permits the issuance of the Securities Act against hereunder. At the Company or related time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to the offering Rule 430B(f)(2) of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective dateAct, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement without reliance on General Instruction I.B.6. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Registration Statement, as of its date and as effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Closing Date, did not and will not include any untrue statement Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light Rule 164(h)(2) of the circumstances under which they were made, not misleading. Notwithstanding Securities Act) relating to any of the foregoingSecurities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, and, until the Investor does not make hold any representation of the Securities, shall not distribute any offering material in connection with the offering and sale of any of the Securities, to or warranty by the Investor, in each case, other than the Registration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company has not made, and agrees that unless it obtains the prior written consent of the Investor it will not make, an offer relating to the Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act. The Company shall comply with the requirements of Rules 164 and 433 under the Securities Act applicable to any such free writing prospectus consented to by the Investor, including in respect to Underwriter Informationof timely filing with the SEC, legending and record keeping.
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf information supplied by Company in writing for inclusion in the registration statement” statement on Form S-1 (or such other or successor form as defined under Rule 405 under shall be appropriate) pursuant to which the Securities Act) that has been filed shares of Parent Common Stock issuable upon the conversion of the Parent Preferred Stock and the shares underlying the Warrants to be issued in the Merger will be registered with the SEC U.S. Securities and Exchange Commission ("SEC") (the "Registration Statement") for resale shall not earlier than three years prior to at the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of time the Registration Statement (including any amendments or any part thereof has been issued supplements thereto) is declared effective by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectusinformation supplied by Company in writing for inclusion in the proxy statement to be sent to the Shareholders of Parent in connection with the meeting of Parent's Shareholders to consider the issuance of Parent Common Stock underlying the Parent Preferred Stock and Warrants to be issued in the Merger (the "Parent Shareholders Meeting") (such proxy statement as amended or supplemented is referred to herein as the "Proxy Statement") shall not, as of its on the date and as the Proxy Statement is first mailed to Parent's Shareholders, at the time of the Closing DateParent Shareholders Meeting and at the Effective Time, did not and will not include contain any untrue statement of a which, at such time, is false or misleading with respect to any material fact fact, or omit to state any material fact required to be stated therein or necessary in order to make the statements made therein, in light of the circumstances under which they were are made, not false or misleading; or omit to state any material fact necessary to correct any statement in any earlier written information for inclusion in such Proxy Statement which has become false or misleading. If at any time prior to the Effective Time any event or information should be discovered by Company which should be set forth in an amendment to the Registration Statement or a supplement to the Proxy Statement, Company shall promptly inform Parent and Merger Sub. Notwithstanding the foregoing, the Company does not make any representation makes no representation, warranty or warranty covenant with respect to Underwriter Informationany 21 information supplied by Parent or Merger Sub or any other third party which is contained in any of the foregoing documents.
Appears in 1 contract
Sources: Agreement and Plan of Reorganization (E-Medsoft Com)
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to (including any Rule 401(g)(2462(b) under Registration Statement), or the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement omission or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include any untrue statement of a material fact or omit alleged omission to state any therein a material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement and the Pricing Prospectus conformed in all material respects to the requirements of the Securities Act, the Trust Indenture Act, and neither the Registration Statement or (as amended ii) any untrue statement or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any alleged untrue statement of a material fact contained in any Preliminary Prospectus or omitted the Prospectus (as amended or as supplemented if the Company shall have filed with the Commission any amendment thereof or supplement thereto) or the omission or alleged omission to state any therein a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; provided, however, that (1) the indemnity agreements of the Company contained in this paragraph (a) shall not apply to any such losses, claims, damages, liabilities or expenses if such statement or omission was made in reliance upon and in conformity with information furnished in writing to the Company by or on behalf of any Underwriter for use in any Preliminary Prospectus or the Registration Statement or the Prospectus or any such amendment thereof or supplement thereto, and (2) the indemnity agreement contained in this paragraph (a) with respect to any Preliminary Prospectus shall not inure to the benefit of any Underwriter from whom the person asserting any such losses, claims, damages, liabilities or expenses purchased the Stock which is the subject thereof (or to the benefit of any person controlling such Underwriter) if at or prior to the written confirmation of the sale of such Stock a copy of the Prospectus (or the Prospectus as amended or supplemented) was not sent or delivered to such person and the untrue statement or omission of a material fact contained in such Preliminary Prospectus was corrected in the Prospectus (or the Prospectus as amended or supplemented) unless the failure is the result of noncompliance by the Company with paragraph (d) of Section 7 hereof. The Prospectusindemnity agreements of the Company contained in this paragraph (a) and the representations and warranties of the Company contained in Section 2 hereof, as shall remain operative and in full force and effect regardless of any investigation made by or on behalf of any indemnified party and shall survive the delivery of and payment for the Stock.
(b) Each Underwriter severally agrees to indemnify and hold harmless the Company, each of its date officers who signs the Registration Statement on his own behalf or pursuant to a power of attorney, and as each of its directors, each other Underwriter and each person (including each partner or officer thereof) who controls the Company or any such other Underwriter within the meaning of Section 15 of the Closing DateSecurities Act, did not from and will not include against any and all losses, claims, damages or liabilities, joint or several, to which such indemnified parties or any of them may become subject under the Securities Act, the Exchange Act, the common law or otherwise and to reimburse each of them for any legal or other expenses (including, except as otherwise hereinafter provided, reasonable fees and disbursements of counsel) incurred by the respective indemnified parties in connection with defending against any such losses, claims, damages or liabilities or in connection with any investigation or inquiry of, or other proceeding which may be brought against, the respective indemnified parties, in each case arising out of or based upon (i) any untrue statement or alleged untrue statement of a material fact contained in the Registration Statement (including the Prospectus constituting a part thereof and any Rule 462(b) Registration Statement) or omit any post-effective amendment thereto (including any Rule 462(b) Registration Statement) or the omission or alleged omission to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty with respect to Underwriter Information.state
Appears in 1 contract
Registration Statement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under a) Following the Securities Act) that has been filed with the SEC not earlier than three years prior to the effective date of the Pricing Agreement; no notice Registration Statement, the Company shall, upon the request of objection any Purchaser, forthwith supply to such Purchaser such reasonable number of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness copies of the Registration Statement or any part thereof has been issued by the SEC Statement, preliminary prospectus and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to prospectus meeting the requirements of the Securities Act as shall have been requested.
(b) The Company shall pay all costs, fees and expenses in connection with the Trust Indenture Act Registration Statement; provided, however, that the Purchaser shall be solely responsible for the fees of any counsel retained by the Purchaser in connection with such registration and did not include any transfer taxes or underwriting discounts, commissions or fees applicable to the Purchaser Stock sold by the Purchaser pursuant thereto.
(c) The Company shall indemnify and hold harmless the Purchaser from and against any and all losses, claims, damages and liabilities caused by any untrue statement of a material fact contained in the Registration Statement, any other registration statement filed by the Company under the Securities Act with respect to the registration of the Purchaser Stock, any post-effective amendment to such registration statements, or omit any prospectus included therein or caused by any omission to state any therein a material fact required to be stated therein or necessary to make the statements therein not misleading. At , except insofar as such losses, claims, damages or liabilities are caused by any such untrue statement or omission based upon information furnished or required to be furnished in writing to the Applicable TimeCompany by the Purchaser expressly for use therein, which indemnification shall include each person, if any, who controls the Purchaser within the meaning of the Securities Act and each officer, director, employee and agent of the Purchaser; provided, however, that the indemnification in this Section with respect to any prospectus shall not inure to the benefit of the Purchaser (or to the benefit of any person controlling the Purchaser) on account of any such loss, claim, damage or liability arising from the sale of Purchaser Stock by the Purchaser, if a copy of a subsequent prospectus correcting the untrue statement or omission in such earlier prospectus was provided to the Purchaser by the Company prior to the subject sale and the subsequent prospectus was not delivered or sent by the Purchaser to the buyer prior to such sale; and provided further, that the Company shall not be obligated to so indemnify the Purchaser or other person referred to above unless the Purchaser or other person, as the case may be, shall at the same time indemnify the Company, its directors, each officer signing the Registration Statement and each person, if any, who controls the Pricing Prospectus conformed in all material respects to Company within the requirements meaning of the Securities Act, the Trust Indenture Actfrom and against any and all losses, claims, damages and neither the Registration Statement (as amended or supplemented liabilities caused by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any untrue statement of a material fact contained in the Registration Statement, any registration statement or omitted any prospectus required to be filed or furnished by reason of this Agreement or caused by any omission to state any therein a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, therein not misleading. The Prospectus, insofar as of its date and as of the Closing Datesuch losses, did not and will not include claims, damages or liabilities are caused by any untrue statement or omission based upon information furnished in writing to the Company by the Purchaser expressly for use therein.
(d) If for any reason the indemnification provided for in the preceding section is held by a court of a material fact or omit to state any material fact required competent jurisdiction to be stated therein or necessary unavailable to make the statements therein, in light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make any representation or warranty an indemnified party with respect to Underwriter Informationany loss, claim, damage, liability or expense referred to therein, then the indemnifying party, in lieu of indemnifying such indemnified party thereunder, shall contribute to the amount paid or payable by the indemnified party as a result of such loss, claim, damage or liability in such proportion as is appropriate to reflect not only the relative benefits received by the indemnified party and the indemnifying party, but also the relative fault of the indemnified party and the indemnifying party, as well as any other relevant equitable considerations.
(e) Neither the filing of the Registration Statement by the Company nor the making of any request for prospectuses by the Purchaser shall impose upon the Purchaser any obligation to sell the Purchaser Stock.
(f) The Purchaser, upon receipt of notice from the Company that an event has occurred which requires a post-effective amendment to the Registration Statement or a supplement to the prospectus included therein, shall promptly discontinue the sale of Purchaser Stock until the Purchaser receives a copy of a supplemented or amended prospectus from the Company, which the Company shall provide as soon as practicable after such notice.
Appears in 1 contract
Sources: Note Purchase Agreement (Kat Man Du Entertainment Corp)
Registration Statement. The Company has prepared and filed the Registration Statement in conformity with the requirements of the Securities Act, which became effective on April 14, 2021 (the “Effective Date”), including the Prospectus, the Prospectus Supplement, and such amendments and supplements thereto as may have been required to the date of this Agreement. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Registration Statement or any part thereof suspending or preventing the use of the Prospectus and/or the Prospectus Supplement has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and any request on the part regulations of the SEC for additional information pertaining Commission, shall file the Prospectus with the Commission pursuant to Rule 424(b). At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable effective datethis Agreement and at the Closing Date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At ; and the Applicable TimeProspectus and any amendments or supplements thereto, including without limitation, the Registration Statement Prospectus Supplement, at the time the Prospectus or any such amendment or supplement thereto was issued and at the Pricing Prospectus Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Registration Statement eligible to use Form S-3. The Company is eligible to use Form S-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty transaction requirements with respect to Underwriter Informationthe aggregate market value of securities being sold pursuant to this offering and during the twelve (12) months prior to this offering, as set forth in General Instruction I.B.6 of Form S-3.
Appears in 1 contract
Sources: Securities Purchase Agreement (AmpliTech Group, Inc.)
Registration Statement. The Company has prepared and filed the Registration Statement with the SEC in accordance with the Securities Act. The Registration Statement was declared effective by order of the SEC on September 8, 2017. The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by and available for the Company; and no issuance of the Securities thereunder. No stop order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC U.S. Securities and Exchange Commission (the “Commission”), and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part Commission. The “Plan of Distribution” section of the SEC for additional information pertaining to Prospectus permits the issuance of the Securities under the terms of this Agreement. At the time the Registration Statement has been complied with. As and any amendments thereto became effective, at the date of its applicable this Agreement and at each deemed effective datedate thereof pursuant to Rule 430B(f)(2) of the Securities Act, the Registration Statement conformed and any amendments thereto complied and will comply in all material respects to with the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Base Prospectus conformed and any Prospectus Supplement thereto, at the time such Base Prospectus or such Prospectus Supplement thereto was issued and on the Commencement Date, complied and will comply in all material respects to with the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading; provided that this representation and warranty does not apply to statements in or omissions from any Prospectus Supplement made in reliance upon and in conformity with information relating to the Investor furnished to the Company in writing by or on behalf of the Investor expressly for use therein. The ProspectusCompany meets all of the requirements for the use of a registration statement on Form S-3 pursuant to the Securities Act for the offering and sale of the Securities contemplated by this Agreement in reliance on General Instruction I.B.1. of Form S-3, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) of the Securities Act. The Company hereby confirms that the issuance of the Securities to the Investor pursuant to this Agreement would not result in non-compliance with the Securities Act or any of the General Instructions to Form S-3. The Registration Statement, as of its date effective date, meets the requirements set forth in Rule 415(a)(1)(x) pursuant to the Securities Act. At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) of the Securities Act) relating to any of the Securities, the Company was, and as of the Closing Datedate of this Agreement the Company is, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, an Ineligible Issuer (as defined in light Rule 405 of the circumstances under which they were madeSecurities Act). The Company has not distributed any offering material in connection with the offering and sale of any of the Securities, not misleading. Notwithstanding other than the foregoingRegistration Statement or any amendment thereto, the Prospectus or any Prospectus Supplement required pursuant to applicable law or the Transaction Documents. The Company does has not made and shall not make any representation or warranty with respect an offer relating to Underwriter Informationthe Securities that would constitute a “free writing prospectus” as defined in Rule 405 under the Securities Act.
Appears in 1 contract
Registration Statement. (a) The Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 Statement, and any amendment thereto, including any information deemed to be included therein pursuant to the rules and regulations of the SEC promulgated under the Securities Act) that has been , complied (or, in the case of amendments filed with the SEC not earlier than three years prior to after the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2hereof, will comply) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As as of its applicable effective date, the Registration Statement conformed filing date in all material respects to with the requirements of the Securities Act and the Trust Indenture Act rules and regulations of the SEC promulgated thereunder, and did not include (or, in the case of amendments filed after the date hereof, will not) contain any untrue statement of a material fact or omit to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading. At As of the Applicable Timedate it is declared effective by the SEC, the Registration Statement Statement, as so amended, and the Pricing Prospectus conformed any related registration statements, will comply in all material respects to with the requirements of the Securities Act, Act and the Trust Indenture Actrules and regulations of the SEC promulgated thereunder, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included will not contain any untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein not misleading. The preliminary prospectus included in the Registration Statement as of the date the Registration Statement is declared effective by the SEC, and any free writing prospectus related to the Registration Statement and any final prospectus related to the Registration Statement filed pursuant to Rule 424 promulgated under the Securities Act, in each case as of its date, will comply in all material respects with the requirements of the Securities Act and the rules and regulations promulgated thereunder, and will not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. .
(b) The Prospectusconsolidated financial statements of the Company (including all related notes or schedules) included in the Registration Statement complied (or, in the case of amendments filed after the date hereof, will comply) as to form in all material respects with the published rules and regulations of the SEC with respect thereto, have been prepared in all material respects in accordance with GAAP (except, in the case of unaudited quarterly statements, as permitted by rules and regulations of the SEC) applied on a consistent basis during the periods involved (except (i) as may be indicated in the notes thereto or (ii) as permitted by Regulation S-X) and fairly present in all material respects the consolidated financial position of the Company and its date and consolidated Subsidiaries as of the Closing Date, did not dates thereof and will not include any untrue statement the consolidated results of a material fact or omit to state any material fact required to be stated therein or necessary to make their operations and cash flows for the statements thereinperiods shown (subject, in light the case of unaudited quarterly financial statements, to normal year-end adjustments which are not material, individually or in the circumstances under aggregate, and the absence of footnote disclosures which they were madeif presented, would not misleading. Notwithstanding reasonably be expected to differ materially from those presented in the foregoingaudited financial statements included in the Registration Statement).
(c) Except as disclosed in the Registration Statement, the Company does has not make identified (i) any representation material weakness or warranty with respect significant deficiency in the design or operation of internal control over financial reporting which is reasonably likely to Underwriter Informationadversely affect the Company’s ability to record, process, summarize and report financial information or (ii) any fraud or allegation of fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s internal control over financial reporting.
Appears in 1 contract
Registration Statement. The (A) Each of First Union and the Company agrees to cooperate in the preparation of a registration statement on Form S-4 (the "Registration Statement") to be filed by First Union with the SEC in connection with the issuance of shares of First Union Common Stock as contemplated by this Plan (including the proxy statement and prospectus and other proxy solicitation materials of First Union and the Company constituting a part thereof (the "Proxy Statement"). Each of the Company and First Union agrees to use all reasonable best efforts to cause the Registration Statement is an “automatic shelf registration statement” to be declared effective under the Securities Act as promptly as reasonably practicable after filing thereof. First Union also agrees to use all reasonable best efforts to obtain all necessary state securities law or "Blue Sky" permits and approvals required to carry out the transactions contemplated by this Agreement. The Company agrees to furnish to First Union all information concerning the Company, the Company Subsidiaries, officers, directors and stockholders as may be reasonably requested in connection with the foregoing.
(B) Each of the Company and First Union agrees, as defined under Rule 405 to itself and its subsidiaries, that none of the information supplied or to be supplied by it for inclusion or incorporation by reference in (i) the Registration Statement will, at the time the Registration Statement and each amendment or supplement thereto, if any, becomes effective under the Securities Act) that has been filed with the SEC not earlier than three years prior to the date of the Pricing Agreement; no notice of objection of the SEC to the use of such Registration Statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no order suspending the effectiveness of the Registration Statement or any part thereof has been issued by the SEC and no proceeding for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has been initiated or is pending or, to the knowledge of the Company, is contemplated or threatened by the SEC, and any request on the part of the SEC for additional information pertaining to the Registration Statement has been complied with. As of its applicable effective date, the Registration Statement conformed in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At , and (ii) the Applicable Time, the Registration Proxy Statement and any amendment or supplement thereto will, at the Pricing Prospectus conformed in all material respects date of mailing to stockholders and at the requirements time of the Securities ActMeeting, the Trust Indenture Act, and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included contain any untrue statement of a material fact or omitted to state any material fact required to be stated therein or necessary to make the statements thereinwhich, in the light of the circumstances under which they were such statement is made, not misleading. The Prospectuswill be false or misleading with respect to any material fact, as of its date and as of the Closing Date, did not and or which will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary in order to make the statements therein, therein not false or misleading or necessary to correct any statement in light of any earlier statement in the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the Company does not make Proxy Statement or any representation amendment or warranty with respect to Underwriter Informationsupplement thereto.
Appears in 1 contract
Registration Statement. The Company has prepared and filed the Shelf Registration Statement is an “automatic shelf registration statement” (as defined under Rule 405 under in conformity with the requirements of the Securities Act) that has , which became effective on January 13, 2026, including the Prospectus, and such amendments and supplements thereto as may have been filed with the SEC not earlier than three years prior required to the date of the Pricing this Agreement; no notice of objection of the SEC to the use of such . The Shelf Registration Statement or any post-is effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company; and no stop order preventing or suspending the effectiveness of the Shelf Registration Statement or any part thereof suspending or preventing the use of the Prospectus has been issued by the SEC Commission and no proceeding proceedings for that purpose or pursuant to Section 8A of the Securities Act against the Company or related to the offering of the Securities has have been initiated or is pending instituted or, to the knowledge of the Company, is contemplated or are threatened by the SECCommission. The Company, if required by the rules and regulations of the Commission, shall file the Prospectus Supplement with the Commission pursuant to Rule 424(b). At the time the Shelf Registration Statement and any request on amendments thereto became effective, at the part date of this Agreement and at the SEC for additional information pertaining to applicable Closing Date, the Shelf Registration Statement has been complied with. As of its applicable effective date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and the Trust Indenture Act and did not include and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. At the Applicable Time, the Registration Statement ; and the Pricing Prospectus and any amendments or supplements thereto, at the time the Prospectus or any amendment or supplement thereto was issued and at the applicable Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act, the Trust Indenture Act, Act and neither the Registration Statement (as amended or supplemented by the Pricing Prospectus) nor the Time of Sale Disclosure Package included any did not and will not contain an untrue statement of a material fact or omitted omit to state any a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Prospectus, as of its date and as Company was at the time of the Closing Date, did not and will not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light filing of the circumstances Shelf Registration Statement eligible to use Form F-3. The Company is eligible to use Form F-3 under which they were made, not misleading. Notwithstanding the foregoing, Securities Act and it meets the Company does not make any representation or warranty with respect to Underwriter Informationrequirements set forth in General Instruction I.B.1 of Form F-3.
Appears in 1 contract