Common use of Regulation M Compliance Clause in Contracts

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.

Appears in 77 contracts

Samples: Market Offering Agreement (Adial Pharmaceuticals, Inc.), The Market Offering Agreement (Innovative Eyewear Inc), The Market Offering Agreement (Immucell Corp /De/)

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Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the placement of the Shares.

Appears in 61 contracts

Samples: Market Offering Agreement (Mogo Inc.), Terms Agreement (Opgen Inc), The Market Offering Agreement (CYREN Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 47 contracts

Samples: Securities Purchase Agreement (Bridger Aerospace Group Holdings, Inc.), Share Purchase Agreement (Sintx Technologies, Inc.), Securities Purchase Agreement (Rosetta Genomics Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the ADSs or Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the ADSs or Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the placement of the ADSs and Shares.

Appears in 42 contracts

Samples: Securities Purchase Agreement (Safe-T Group Ltd.), Securities Purchase Agreement (Can-Fite BioPharma Ltd.), Securities Purchase Agreement (Can-Fite BioPharma Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 41 contracts

Samples: Underwriting Agreement (Global Engine Group Holding LTD), Underwriting Agreement (New Century Logistics (BVI) LTD), Underwriting Agreement (Armlogi Holding Corp.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Sharesshares of Common Stock, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Sharesshares of Common Stock, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the Sharesplacement of the shares of Common Stock.

Appears in 35 contracts

Samples: Securities Purchase Agreement (Emcore Corp), Securities Purchase Agreement (Allarity Therapeutics, Inc.), Securities Purchase Agreement (ONCOSEC MEDICAL Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 29 contracts

Samples: Underwriting Agreement (LogicMark, Inc.), Underwriting Agreement (Esports Entertainment Group, Inc.), Underwriting Agreement (LogicMark, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesPublic Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesPublic Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s Underwriter in connection with the Sharesplacement of the Public Securities.

Appears in 22 contracts

Samples: Underwriting Agreement (iBio, Inc.), Underwriting Agreement (NXT-Id, Inc.), Underwriting Agreement (iBio, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 21 contracts

Samples: Underwriting Agreement (Mainz Biomed B.V.), Underwriting Agreement (Mainz Biomed N.V.), Underwriting Agreement (Mainz Biomed B.V.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the placement of the Shares.

Appears in 20 contracts

Samples: Common Stock Purchase Agreement (Searchlight Minerals Corp.), Securities Purchase Agreement (Visualant Inc), Securities Purchase Agreement (Codesmart Holdings, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.A.G.P.

Appears in 20 contracts

Samples: Securities Purchase Agreement (Englobal Corp), Securities Purchase Agreement (Cocrystal Pharma, Inc.), Securities Purchase Agreement (Tonix Pharmaceuticals Holding Corp.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 16 contracts

Samples: Underwriting Agreement (YanGuFang International Group Co., LTD), Underwriting Agreement (Agape ATP Corp), Underwriting Agreement (Agape ATP Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Sharesshares of Common Stock, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Sharesshares of Common Stock, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the shares of Common Stock.

Appears in 15 contracts

Samples: Securities Purchase Agreement (Cosmos Health Inc.), Securities Purchase Agreement (Cosmos Holdings Inc.), Securities Purchase Agreement (Soligenix, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Underwritten Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Underwritten Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 14 contracts

Samples: Underwriting Agreement (WANG & LEE GROUP, Inc.), Underwriting Agreement (WANG & LEE GROUP, Inc.), Underwriting Agreement (WANG & LEE GROUP, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, Company other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Sharesservices under this Agreement.

Appears in 12 contracts

Samples: Placement Agency Agreement (Wireless Ronin Technologies Inc), Placement Agency Agreement (Liqtech International Inc), Placement Agency Agreement (Liqtech International Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 12 contracts

Samples: Securities Purchase Agreement (TFF Pharmaceuticals, Inc.), Securities Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Securities Purchase Agreement (Siyata Mobile Inc.)

Regulation M Compliance. The Within the past 30 days, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 11 contracts

Samples: Securities Purchase Agreement (Superconductor Technologies Inc), Securities Purchase Agreement (Superconductor Technologies Inc), Securities Purchase Agreement (Superconductor Technologies Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 10 contracts

Samples: Underwriting Agreement (China Liberal Education Holdings LTD), Underwriting Agreement (Muliang Viagoo Technology, Inc.), Underwriting Agreement (China Liberal Education Holdings LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.A.G.P.

Appears in 9 contracts

Samples: Securities Purchase Agreement (HEXO Corp.), Securities Purchase Agreement (HEXO Corp.), Securities Purchase Agreement (U.S. Gold Corp.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, Securities (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the SharesPlacement Agent.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.), Securities Purchase Agreement (Aralez Pharmaceuticals Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s financial advisor in connection with the Sharesplacement of the Securities.

Appears in 8 contracts

Samples: Securities Purchase Agreement (Bruush Oral Care Inc.), Securities Purchase Agreement (Meten Holding Group Ltd.), Securities Purchase Agreement (Singing Machine Co Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 8 contracts

Samples: Underwriting Agreement (La Rosa Holdings Corp.), Underwriting Agreement (La Rosa Holdings Corp.), Underwriting Agreement (La Rosa Holdings Corp.)

Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the Sharesplacement of the Shares and Warrants.

Appears in 7 contracts

Samples: Securities Purchase Agreement (Blue Ridge Bankshares, Inc.), Securities Purchase Agreement (Anthera Pharmaceuticals Inc), Securities Purchase Agreement (Anthera Pharmaceuticals Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering. (mm) [Reserved.]

Appears in 7 contracts

Samples: Underwriting Agreement (Lm Funding America, Inc.), Underwriting Agreement (Lm Funding America, Inc.), Underwriting Agreement (Lm Funding America, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 6 contracts

Samples: Underwriting Agreement (Summit Wireless Technologies, Inc.), Underwriting Agreement (ALE Group Holding LTD), Underwriting Agreement (Global Engine Group Holding LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Sharesshares of Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 6 contracts

Samples: Securities Purchase Agreement (Inmune Bio, Inc.), Securities Purchase Agreement (ShiftPixy, Inc.), Securities Purchase Agreement (ShiftPixy, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s financial advisor in connection with the Sharessale of the Securities.

Appears in 6 contracts

Samples: Securities Purchase Agreement (ATIF Holdings LTD), Securities Purchase Agreement (Shineco, Inc.), Securities Purchase Agreement (Shineco, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesPurchased Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesPurchased Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Purchased Securities.

Appears in 6 contracts

Samples: Secured Convertible Note Purchase Agreement (Ebix Inc), Convertible Note Purchase Agreement (Quantum Fuel Systems Technologies Worldwide Inc), Convertible Note Purchase Agreement (Ebix Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the Sharesoffering.

Appears in 5 contracts

Samples: Underwriting Agreement (American Resources Corp), Underwriting Agreement (American Resources Corp), Underwriting Agreement (American Resources Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the sales of the Shares.

Appears in 5 contracts

Samples: Market Offering Agreement (Youngevity International, Inc.), Market Offering Agreement (Pro Dex Inc), Market Offering Agreement (India Globalization Capital, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the placement of the Shares.

Appears in 5 contracts

Samples: Sales Agreement (NewAge, Inc.), Market Offering Agreement (New Age Beverages Corp), Market Offering Agreement (Bridgeline Digital, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agents in connection with the placement of the Shares.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Village Farms International, Inc.), Securities Purchase Agreement (SPI Energy Co., Ltd.), Securities Purchase Agreement (Nanoviricides, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 5 contracts

Samples: Underwriting Agreement (Wunong Net Technology Co LTD), Underwriting Agreement (Wunong Net Technology Co LTD), Underwriting Agreement (Wunong Net Technology Co LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the ADSs or Ordinary Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the ADSs or Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the placement of the ADSs and Ordinary Shares.

Appears in 5 contracts

Samples: Securities Purchase Agreement (Safe-T Group Ltd.), Securities Purchase Agreement (Therapix Biosciences Ltd.), Securities Purchase Agreement (Safe-T Group Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager any financial advisors in connection with the Sharessale of the Securities.

Appears in 4 contracts

Samples: Securities Purchase Agreement (MICT, Inc.), Form of Securities Purchase Agreement (BNN Technology PLC), Securities Purchase Agreement (MICT, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clause (i), the Underwriter’s stabilization and in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 4 contracts

Samples: Underwriting Agreement (Creative Global Technology Holdings LTD), Underwriting Agreement (U-Bx Technology Ltd.), Underwriting Agreement (Creative Global Technology Holdings LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agents in connection with the placement of the Shares.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Ispire Technology Inc.), Securities Purchase Agreement (Ispire Technology Inc.), Securities Purchase Agreement (Viveve Medical, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesPublic Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesPublic Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the Sharesoffering of the Public Securities.

Appears in 4 contracts

Samples: Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp), Underwriting Agreement (Chromocell Therapeutics Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesPublic Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesPublic Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 4 contracts

Samples: Underwriting Agreement (Advaxis, Inc.), Underwriting Agreement (Flora Growth Corp.), Underwriting Agreement (Akerna Corp.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesShares (including any Common Stock), (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesShares (including any Common Stock), or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 4 contracts

Samples: Form of Subscription Agreement (MusclePharm Corp), Form of Subscription Agreement (MusclePharm Corp), Form of Subscription Agreement (MusclePharm Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 4 contracts

Samples: Underwriting Agreement (Akanda Corp.), Underwriting Agreement (Akanda Corp.), Underwriting Agreement (Marizyme Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Managers in connection with the Shares.

Appears in 4 contracts

Samples: Market Offering Agreement (Zedge, Inc.), Terms Agreement (TRX GOLD Corp), Market Offering Agreement (Pear Therapeutics, Inc.)

Regulation M Compliance. The Company has not, and to its actual knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, Company other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Sharesservices under this Agreement.

Appears in 4 contracts

Samples: Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc, Spectrum Pharmaceuticals Inc

Regulation M Compliance. The Company has not, and and, to its the knowledge of the Company, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesUnits, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesUnits, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the Sharesplacement of the Units.

Appears in 3 contracts

Samples: Note and Warrant Purchase Agreement (New Leaf Brands, Inc.), Registration Rights Agreement (New Leaf Brands, Inc.), Note and Warrant Purchase Agreement (New Leaf Brands, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the Sharesplacement of the Shares issued to the Specified Purchaser.

Appears in 3 contracts

Samples: And Restated Share Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Share Purchase Agreement (NovaBay Pharmaceuticals, Inc.), Share Purchase Agreement (NovaBay Pharmaceuticals, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (ia) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (iib) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iiic) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (iib) and (iiic), compensation paid to the Manager Company’s placement agent, if any, in connection with the Sharesplacement of the Securities.

Appears in 3 contracts

Samples: Secured Convertible Note Purchase Agreement (H-Cyte, Inc.), Secured Convertible Note and Warrant Purchase Agreement (FWHC Holdings, LLC), Secured Convertible Note and Warrant Purchase Agreement (H-Cyte, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the SharesPlacement Agent.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Vuzix Corp), Securities Purchase Agreement (Cocrystal Pharma, Inc.), Securities Purchase Agreement (Cocrystal Pharma, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the ADSs or Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the ADSs or Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 3 contracts

Samples: Form of Securities Purchase Agreement (WiMi Hologram Cloud Inc.), Form Securities Purchase Agreement (WiMi Hologram Cloud Inc.), Form of Securities Purchase Agreement (Canaan Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with sales of the Shares.

Appears in 3 contracts

Samples: Terms Agreement (NovaBay Pharmaceuticals, Inc.), Market Offering Agreement (NovaBay Pharmaceuticals, Inc.), Market Offering Agreement (Neuralstem, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.and

Appears in 3 contracts

Samples: Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Biosante Pharmaceuticals Inc), Securities Purchase Agreement (Neovasc Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.

Appears in 3 contracts

Samples: Note Purchase Agreement (Northwest Biotherapeutics Inc), Securities Exchange Agreement (Northwest Biotherapeutics Inc), Securities Exchange Agreement (Northwest Biotherapeutics Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.A.G.P..

Appears in 3 contracts

Samples: Securities Purchase Agreement (Super League Gaming, Inc.), Securities Purchase Agreement (Genprex, Inc.), Securities Purchase Agreement (Oragenics Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the Sharessale of the Securities.

Appears in 3 contracts

Samples: Underwriting Agreement (Uranium Energy Corp), Underwriting Agreement (Uranium Energy Corp), Underwriting Agreement (Uranium Energy Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities Shares of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Managers in connection with the placement of the Shares.

Appears in 3 contracts

Samples: Joint Bookrunning Manager Agreement (Chicken Soup for the Soul Entertainment, Inc.), Joint Bookrunning Manager Agreement (Chicken Soup for the Soul Entertainment, Inc.), Joint Bookrunning Manager Agreement (Chicken Soup for the Soul Entertainment, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the Sharesplacement of the Securities.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Emagin Corp), Rights Agreement (Adventrx Pharmaceuticals Inc), Rights Agreement (Adventrx Pharmaceuticals Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Managers in connection with the sales of the Shares.

Appears in 3 contracts

Samples: At the Market Offering Agreement (India Globalization Capital, Inc.), The Market Offering Agreement (India Globalization Capital, Inc.), Market Offering Agreement (India Globalization Capital, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the sale of the Shares.

Appears in 3 contracts

Samples: Market Offering Agreement (Cleanspark, Inc.), Market Offering Agreement (Greenland Technologies Holding Corp.), The Market Offering Agreement (Cleanspark, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Senesco Technologies Inc), Securities Purchase Agreement (TD Holdings, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering or as set forth in the Offering Materials.

Appears in 2 contracts

Samples: Underwriting Agreement (Aptorum Group LTD), Underwriting Agreement (Aptorum Group LTD)

Regulation M Compliance. The Company has not, and and, to its knowledge the Knowledge of the Company, no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Integrity Applications, Inc.), Securities Purchase Agreement (Integrity Applications, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent, if any, in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Subscription Agreement (Flux Power Holdings, Inc.), Subscription Agreement (Flux Power Holdings, Inc.)

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Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, within the past twelve (12) months, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Agent in connection with the Shares.

Appears in 2 contracts

Samples: Sales Agreement (ImmunoPrecise Antibodies Ltd.), Open Market Sale (ImmunoPrecise Antibodies Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyCompany in a manner that would violate Regulation M, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Processa Pharmaceuticals, Inc.), Securities Purchase Agreement (Tellurian Inc. /De/)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s financial advisor in connection with the Sharesplacement of the Put Share.

Appears in 2 contracts

Samples: Investment Agreement (Intercloud Systems, Inc.), Investment Agreement (Intercloud Systems, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.

Appears in 2 contracts

Samples: Registration Rights Agreement (Capstone Companies, Inc.), Securities Purchase Agreement (Capstone Companies, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the SharesA.G.P. and Xxxxxx Xxxxxx.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Genprex, Inc.), Securities Purchase Agreement (Genprex, Inc.)

Regulation M Compliance. The Company has not, and to its the Company’s knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Financial Advisor in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Synthetic Biologics, Inc.), Securities Purchase Agreement (Akerna Corp.)

Regulation M Compliance. The Company has not, and and, to its knowledge the Knowledge of the Company, no one Person acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid or to be paid to the Manager Placement Agent in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Integrity Applications, Inc.), Form of Securities Purchase Agreement (Integrity Applications, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge, no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Mad Catz Interactive Inc), Securities Purchase Agreement (Alvarion LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent or broker (if any) in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Axxess Pharma Inc.), Securities Purchase Agreement (Axxess Pharma Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Sharessecurities of the Company, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the SharesCollateral Agent.

Appears in 2 contracts

Samples: VPP Securities Purchase Agreement (Capital Growth Systems Inc /Fl/), Securities Purchase Agreement (Capital Growth Systems Inc /Fl/)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Designated Manager in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Market Offering Agreement (Uranium Energy Corp), Market Offering Agreement (Uranium Energy Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agents, X. Xxxxx or Xxxxx Xxxxxx in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Subscription Agreement (Transphorm, Inc.), Subscription Agreement (Transphorm, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii)) above, compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (OMNIQ Corp.), Securities Purchase Agreement (Second Sight Medical Products Inc)

Regulation M Compliance. The Company has not, and to its actual knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, Shares or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, Company other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Sharesservices under this Agreement.

Appears in 2 contracts

Samples: Wireless Ronin Technologies Inc, Wireless Ronin Technologies Inc

Regulation M Compliance. The Company has not, and and, to its knowledge knowledge, no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the SharesOffering.

Appears in 2 contracts

Samples: Underwriting Agreement (Top KingWin LTD), Underwriting Agreement (Top KingWin LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the CompanyShares, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Ocugen, Inc.), Securities Purchase Agreement (Ocugen, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.

Appears in 2 contracts

Samples: Market Offering Agreement (Shapeways Holdings, Inc.), Terms Agreement (Fennec Pharmaceuticals Inc.)

Regulation M Compliance. The Within the past 12 months, the Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Duos Technologies Group, Inc.), Securities Purchase Agreement (Duos Technologies Group, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge the Company’s Knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, securities of the Company or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares.

Appears in 2 contracts

Samples: Form of Securities Purchase Agreement (Ribbon Communications Inc.), Securities Purchase Agreement (AtriCure, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one authorized to act or known to be acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (China Integrated Energy, Inc.), Securities Purchase Agreement (China Integrated Energy, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 2 contracts

Samples: Underwriting Agreement (Summit Semiconductor Inc.), Underwriting Agreement (Summit Semiconductor Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the Shares.offering. 18

Appears in 2 contracts

Samples: Underwriting Agreement (JIADE LTD), Underwriting Agreement (JIADE LTD)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s introducing broker / financial advisor in connection with the Sharesplacement of the Securities.

Appears in 2 contracts

Samples: Securities Purchase Agreement (BioSig Technologies, Inc.), Securities Purchase Agreement (BioSig Technologies, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Selling Agents in connection with the SharesOffering.

Appears in 2 contracts

Samples: Selling Agent’s Agreement (MDB Capital Holdings, LLC), Selling Agent’s Agreement (MDB Capital Holdings, LLC)

Regulation M Compliance. The Company has not, and to its knowledge no one acting authorized to act on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the Sharesoffering.

Appears in 2 contracts

Samples: Underwriting Agreement (Nature Wood Group LTD), Underwriting Agreement (Nature Wood Group LTD)

Regulation M Compliance. The Company has not, and to its knowledge the Knowledge of the Company no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the SharesOffering of the Securities.

Appears in 2 contracts

Samples: Placement Agency Agreement (Pressure Biosciences Inc), Placement Agency Agreement (Pressure Biosciences Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, Company other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Sharesservices under this Agreement.

Appears in 2 contracts

Samples: Placement Agency Agreement (Manitex International, Inc.), Placement Agency Agreement (Manitex International, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with Placement Agent pursuant to the SharesPlacement Agency Agreement.

Appears in 1 contract

Samples: Securities Purchase Agreement (Evogene Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Warrant Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Warrant Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the placement of the Warrant and the Warrant Shares.

Appears in 1 contract

Samples: Securities Purchase Agreement (Cell Therapeutics Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.. (jj) [RESERVED]

Appears in 1 contract

Samples: Market Offering Agreement (Bit Digital, Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf and at its direction has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s placement agent in connection with the Sharesplacement of the Securities.

Appears in 1 contract

Samples: Securities Purchase Agreement (Edap TMS Sa)

Regulation M Compliance. The Company has notnot and, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriter in connection with the purchase of the Shares.

Appears in 1 contract

Samples: Underwriting Agreement (Response Genetics Inc)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Placement Agent in connection with the placement of the Shares; provided further that the Company makes no representation regarding any activities undertaken by the Placement Agent.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vaxart, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with Financial Advisor pursuant to the SharesFinancial Advisory Agreement.

Appears in 1 contract

Samples: Consent and Waiver (Oncocyte Corp)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the SharesSecurities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation to be paid to the Manager in connection with the SharesX.X. Xxxxxxxxxx LLC.

Appears in 1 contract

Samples: Securities Purchase Agreement (Addex Therapeutics Ltd.)

Regulation M Compliance. The Company has not, and to its best knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesOffered Securities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesOffered Securities, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Underwriters in connection with the SharesOffering.

Appears in 1 contract

Samples: Underwriting Agreement (G Medical Innovations Holdings Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the SharesCommon Stock, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager Company’s Financial Advisor in connection with advice to the Company in connection with the SharesTransaction Documents.

Appears in 1 contract

Samples: Securities Purchase Agreement (AMERI Holdings, Inc.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the Shares, (ii) sold, bid for, purchased, or, paid any compensation for soliciting purchases of, any of the Shares, or (iii) paid or agreed to pay to any Person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Sharessales of the Shares hereunder.

Appears in 1 contract

Samples: Terms Agreement (Enlivex Therapeutics Ltd.)

Regulation M Compliance. The Company has not, and to its knowledge no one acting on its behalf has, (i) taken, directly or indirectly, any action designed to cause or to result in the stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of any of the SharesSecurities, (ii) sold, bid for, purchased, or, or paid any compensation for soliciting purchases of, any of the Shares, Securities or (iii) paid or agreed to pay to any Person person any compensation for soliciting another to purchase any other securities of the Company, other than, in the case of clauses (ii) and (iii), compensation paid to the Manager in connection with the Shares.and

Appears in 1 contract

Samples: Securities Purchase Agreement (Emagin Corp)

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